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BOS Top Stories

New Jersey Division of Consumer Affairs and Bureau of Securities Announces Settlements with WestPark Capital and an Associated Financial Broker (4/16/14)

RBC Capital Markets Pays Civil Penalty and Revises Its Supervisory System, Under Settlement (1/6/14)

Court Approves Asset Freeze and Appointment of Receiver After Attorney General’s Bureau of Securities Files Suit Against Two Bergen County Residents and Their Company For Allegedly Defrauding Investors of $3.5 Million (12/24/13)

Attorney General’s Bureau of Securities Files Suit Against Two Bergen County Residents and Their Company For Allegedly Defrauding Investors of $3.5 Million (12/18/2013)

URGENT MESSAGE for Applicants Who Need to be Fingerprinted (12/10/2013)

New Jersey Consumer Affairs’ Bureau of Securities Wins $36.4 Million Judgment Against Operators of Ponzi Scheme That Defrauded Investors (10/9/13)

UBS Financial Services Agrees to Pay $4.58 Million to Settle a Multi-State Investigation Led by the Division of Consumer Affairs’ Bureau of Securities (8/26/13)

Morgan Stanley & Co. Agrees to Pay $100,000 Under Settlement With Division of Consumer Affairs’ Bureau of Securities (7/30/13)

Bergen County Biotech Companies and Their President/CEO Ordered to Pay More than $11 Million in Restitution and Penalties Under Settlement with New Jersey Division of Consumer Affairs’ Bureau of Securitie (5/30/13)

Executive Indicted on Charges He Stole Over $230,000 in Investor Funds Raised for His Biotech/Medical Firms in Bergen County, N.J. - New Jersey Bureau of Securities previously sued Thomas J. Fagan for defrauding investors of $9.5 million by selling unregistered stock in one of the companies (5/21/13)

Newark-Based Broker-Dealer Self Reports Securities Violations; Agrees to Pay $100,000 Plus Restitution, Under Settlement With the N.J. Division of Consumer Affairs’ Bureau of Securities (5/2/13)

N.J. Bureau of Securities Announces Launch of Modernized Investment Adviser Examination Process (4/22/13)

New Jersey Bureau of Securities Issues Investor Alert: “Profitable Sunrise” is Unregistered, Questionable Scheme (3/18/13)

New Jersey Division of Consumer Affairs Announces Settlement with Canadian Investment Bank -- RBC Capital Markets Agrees to $450,000 Settlement with Bureau of Securities for Failing to Review Accounts Used in Multi-Million Dollar Ponzi Scheme (3/13/13)

New Jersey Bureau of Securities Cautions Military Families to Be on Guard Against Fraud (2/21/13)

New Jersey Bureau of Securities Helps Investors Talk the Talk about Savings and Investing - ‘Conversation Starters’ Program Spotlighted During America Saves Week (2/21/13)

New Jersey Division of Consumer Affairs Announces $100,000 Civil Penalty in Bureau of Securities Action Against South Jersey Resident Who Defrauded Investors (1/7/13)

Attorney General and New Jersey Division of Consumer Affairs Announce $940,000 Bureau of Securities Settlement with North Jersey Investment Adviser (10/11/12)

Attorney General Chiesa, N.J. Division of Consumer Affairs, and N.J. Bureau of Securities Announce Suit Against Investment Firm for Alleged $12 Million Fraud (8/8/12)

N.J. Bureau of Securities Files Suit Against Passaic County Company and Three Executives for Allegedly Defrauding Investors of $1.4 Million (7/17/12)

N.J. Bureau of Securities Commences Regulation of Additional Investment Advisers Today - State Oversight Accomplished Through Industry Outreach and Additional Bureau Resources (6/28/12)

June 15 is World Elder Abuse Awareness Day - New Jersey Division of Consumer Affairs and its Bureau of Securities Urges Citizens to Report Elder Abuse “Crime of the 21st Century” Costs Victims $2.9 Billion Per Year (6/15/12)

South Jersey Couple Who Defrauded Investors Agree to Pay Restitution and Civil Penalty (5/8/12)

Following Trial Verdict, Affirmative Civil Enforcement Litigation Group Obtains Court Order on Behalf of Bureau of Securities Imposing Civil Penalties and Restitution for Investors (2/6/12)

New Jersey Division of Consumer Affairs and its Bureau of Securities Caution Investors Not to Stumble When Interest Rates Fall Flat (2/1/12)

New Jersey Division of Consumer Affairs and its Bureau of Securities Announce $400,000 Civil Penalty In Investor Fraud Case Against a Purported Alternative Energy Company (11/30/11)

Philadelphia Lawyer with Office in Cherry Hill, N.J., Indicted on Charges He Stole More than $1 Million from Client (11/7/11)

New Jersey Division of Consumer Affairs Announces Fraud Charges in Lawsuit Filed by Bureau of Securities, Alleging $8.5 Million Fraudulent Scheme Targeting Elderly Investors (11/7/11)

N.J. Division of Consumer Affairs Announces Wachovia and Raymond James to Repurchase Auction Rate Securities and Pay $3.26 Million in Civil Penalties under Separate Consent Orders Issued by Bureau of Securities (10/4/11)

New Jersey Division of Consumer Affairs’ Bureau of Securities Obtains Asset Freeze and Removal of CEO from Bergen County Companies, In Lawsuit Alleging Investor Fraud (9/2/11)

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Acting Bureau Chief, Amy G. Kopleton portrait...