Jack Herstein

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  Crowdfunding Bill Paves Way for Fraud: NASAA

  By Marlene Y. Satter, AdvisorOne  |  October 28, 2011

  A bill that would allow crowdfunding for businesses has regulators worried that investors would be left unprotected.

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  Securities Regulators Find Enforcement Actions by States Surged 51% in 2010

  By Melanie Waddell, AdvisorOne  |  October 21, 2011

  NASAA released findings of a report on Oct.19 that found a 51% increase in the number of enforcement actions by state securities regulators in 2010

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  Slew of Advisor Violations Found by State Regulators

  By Melanie Waddell, AdvisorOne  |  October 14, 2011

  A series of coordinated exams of 825 investment advisors by 45 state and provincial securities examiners between Jan. 1 through June 30 of this year uncovered 3,543 deficiencies in 13 compliance areas.

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  Congress Urged to Preserve States' Authority in Any SRO for Advisors

  By Melanie Waddell, AdvisorOne  |  September 14, 2011

  Just as the Pennsylvania Securities Commissioner was warning members of a House subcommittee on Tuesday to not trump states’ authority in potentially requiring an SRO for advisors, the newly christened NASAA president was beating the same drum miles away.

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  As State Securities Regulators Worry About SEC Funding, Government Shutdown Looms

  By Melanie Waddell, AdvisorOne  |  March 28, 2011

  As state securities regulators gathered at their annual public policy conference in Washington on Monday, the threat of a government shutdown looked imminent.