2009 News Releases

November 30, 2009
Commission Approves Settlements with Morgan Stanley and Merrill Lynch—Arizona to Receive over $840,520, Also Sanctions Promoters of Unregistered Real Estate Investment Programs               

November 5, 2009
Commission Approves Settlements with Credit Suisse and an American National Mortgage Partners Defendant 

October 8, 2009
Commission Orders Over $13.36 Million in Restitution, Reaches Settlement with American National Mortgage Partner Defendants, and Sanctions Others

September 9, 2009
Commission Approves JP Morgan Chase ARS Settlement, Also Sanctions Promoters of Unregistered Jet Fuel Pump, Real Estate and Gold Mining Ventures

August 21, 2009
Commission Issues Top 10 List of Investor Traps

August 13, 2009 
Commission Approves Deutsche Bank Securities Settlement, Orders Fines and Restitution for Others Who Defrauded Investors

July 9, 2009
Commission Fines RBC Capital Markets for Auction-Rate Securities Sales, Sanctions World Group Securities Salesman

June 11, 2009
Commission Approves Merrill Lynch Auction Rate Settlement, Arizona to Receive OVer $1.7 Million

June 11, 2009
Scottsdale Soothsayer, Gilbert Loan Officer and a Tractor-Trailer Investment Promoter Ordered to Pay Restitution and Penalties

May 20, 2009
Commission Orders a Record $5.7 Million in Penalties and Over $67.2 Million in Restitution for Investors

May 20, 2009
Commission Approves Banc of America Auction Rate Securities Settlement, Arizona to Receive $554,543

April 14, 2009
Commission Approves Citigroup Settlement, Sanctions Others for Securities Fraud

April 1, 2009
Commission Warns Investors to Avoid Affinity Fraud: Beware of Swindlers Who Claim Loyalty to Your Group

March 19, 2009
Commission Orders Wachovia to Pay Fines for Auction-Rate Securities Sales, Arizona to Receive $642,280

February 19, 2009
Commission Orders $7.89 Million in Restitution to Restore Arizona Investors