Jan 16, 2024 | Appointment | Bureau Chief | Bureau of Securities | Elizabeth M. Harris | financial markets | investor fraud | Bureau of Securities | Division of Consumer Affairs | Press Release
Attorney General Matthew J. Platkin has appointed Elizabeth M. Harris to serve as Chief of the Bureau of Securities (“Bureau”), effective today. The Bureau, which operates within the Division of Consumer Affairs, is charged with protecting investors from investment fraud, and with regulating the securities industry in New Jersey.
Dec 21, 2023 | "Oasis" | Fraudulent Investments | NRIA | Oasis Realty Investment Group LLC (“Oasis”) | Real Estate Investment Firm | Bureau of Securities | Consumer Protection | Division of Consumer Affairs | Division of Law | Press Release | Protecting New Jersey Consumers | Protecting New Jersey in Court
Attorney General Matthew J. Platkin announced today that the New Jersey Bureau of Securities within the Division of Consumer Affairs has filed a civil enforcement action against the former vice-president of an NJ-based real estate investment firm that defrauded investors nationwide.
Dec 20, 2023 | Alabama | broker-dealers | California | Commissions | Florida | Illinois | investors | Massachusetts | Montana | New Jersey Investors | Raymond James Financial Services | restitution | Settlement | Small-Dollar Transactions | Washington | Bureau of Securities | Division of Consumer Affairs | Press Release | Protecting New Jersey Consumers | Protecting New Jersey in Court
The Office of the Attorney General and the Division of Consumer Affairs today announced that the Bureau of Securities has joined a multi-state settlement with two Florida- based broker-dealers that have agreed to pay at least $8.25 million in refunds to investors who were charged unreasonable commission fees on small-dollar transactions.
Jul 31, 2023 | Broker-Dealer Agent | Civil Penalty | NJ Bureau of Securities | unregistered securities | Bureau of Securities | Consumer Protection | Division of Consumer Affairs | Division of Law | Press Release | Protecting New Jersey Consumers
For Immediate Release: July 31, 2023 Office of the Attorney General- Matthew J. Platkin, Attorney GeneralDivision of Consumer Affairs- Cari Fais, Acting DirectorBureau of Securities- Amy G. Kopleton, Acting Bureau ChiefDivision of Law- Michael T.G. Long, Director For...
Jun 15, 2023 | Aber | New Jersey’s Uniform Securities Law | NJ Bureau of Securities | Plutus Financial Inc | Plutus Lending LLC | Unregistered Interest-Bearing Crypto Accounts | Bureau of Securities | Consumer Protection | Division of Consumer Affairs | Division of Law | Press Release | Protecting New Jersey Consumers
NJ Penalty and Cease & Desist Order Part of Coordinated Multi-State Enforcement Actions For Immediate Release: June 15, 2023 Office of the Attorney General- Matthew J. Platkin, Attorney GeneralDivision of Consumer Affairs- Cari Fais, Acting DirectorBureau of...
Jun 14, 2023 | (SAFE Act) | AIA Exam | Bureau of Securities | Division of Consumer Affairs | Investment Adviser Written Examination | NJ Safeguarding Against Financial Exploitation Act | Bureau of Securities | Consumer Protection | Division of Consumer Affairs | Press Release | Protecting New Jersey Consumers
Assessment Aimed at Identifying, Addressing Potential Risks to Investors For Immediate Release: June 14, 2023 Office of the Attorney General- Matthew J. Platkin, Attorney GeneralDivision of Consumer Affairs- Cari Fais, Acting DirectorBureau of Securities- Amy G....
