Organization | • | Secretary of State, Securities Department | [X] |
| | 1: | | Title: | | | | | Volume/Number: | 2008 Summer | | | | Issuing Agency: | | | | | Description: | Newsletter for investors. This issue has items on investigating auction rate securities, warning about 'senior specialists,' Investor Education summer outreach, Administrative Enforcement Orders, a successfully prosecuted fraud case, searching for registration status, Investment Adviser Requirements, defining Broker-dealer branch offices, and Securities Publications. | | | | Date Created: | 07 01 2008 | | | | Agency ID: | | | | | ISL ID: | 000000022653 Original UID: 11435 FIRST WORD: Securities | |
| 2: | | Title: | | | | | Volume/Number: | 2008 Spring | | | | Issuing Agency: | | | | | Description: | Newsletter for investors. This issue has items on NASAA sets pro-investor legislative priorities, Investor Education, FSI: New tool for teaching fraud awareness to students, Margin Accounts, Dealer and Investment Adviser Renewals, and Enforcement Administrative Orders. | | | | Date Created: | 03 06 2008 | | | | Agency ID: | | | | | ISL ID: | 000000022654 Original UID: 11436 FIRST WORD: Securities | |
| 3: | | Title: | | | | | Volume/Number: | 2007 Fall | | | | Issuing Agency: | | | | | Description: | Newsletter for investors. In this issue are items on Sterling man sentenced for $8 million fraud, Investor Education at the Illinois State Fair, Talking with parents about investment fraud, Enforcement Administrative Orders, Investment adviser reminders, Free Investor Education materials, and a Memoriam for Tom E. Coffelt | | | | Date Created: | 11 14 2007 | | | | Agency ID: | | | | | ISL ID: | 000000022655 Original UID: 11437 FIRST WORD: Securities | |
| 4: | | Title: | | | | | Volume/Number: | 2007 Summer | | | | Issuing Agency: | | | | | Description: | Newsletter for investors. This issue has items on Top 10 Securities Scams 2007, Foreign currency contracts, Petrilli sentenced to 63 months, IAR registration requirements, Enforcement Administrative Orders, SEC expands definition of covered securities, Securities Department employees honored, | | | | Date Created: | 06 22 2007 | | | | Agency ID: | | | | | ISL ID: | 000000022656 Original UID: 11438 FIRST WORD: Securities | |
| 5: | | Title: | | | | | Volume/Number: | 2007 Winter | | | | Issuing Agency: | | | | | Description: | Newsletter for investors. In this issue: Monitor online accounts carefully, Waukegan financial advisor sentenced for defrauding elderly, Enforcement Administrative Orders, Investor Education reaches students through simulcasts, Investigators surprised by alligators and sharks, | | | | Date Created: | 01 25 2007 | | | | Agency ID: | | | | | ISL ID: | 000000022657 Original UID: 11439 FIRST WORD: Securities | |
| 6: | | Title: | | | | | Volume/Number: | 2006 Summer | | | | Issuing Agency: | | | | | Description: | Newsletter for investors. In this issue: Naperville man convicted on 15 counts of fraud, Dont Get Scammed campaign launched, Switching from state to SEC-registered status, senior specialist, Enforcement Administrative Orders, Financial Regulators Fair at Thompson Center, New branch office definition adopted | | | | Date Created: | 07 13 2006 | | | | Agency ID: | | | | | ISL ID: | 000000022658 Original UID: 11440 FIRST WORD: Securities | |
| 7: | | Title: | | | | | Volume/Number: | 2006 Winter | | | | Issuing Agency: | | | | | Description: | Newsletter for investors. In this issue: Investment preacher sentenced to prison, Calling all Senior Centers, Internet and E-mail Scams, Troops Against Predatory Scams, Enforcement Administrative Orders, CRD at a Glance keeps firms up to date, Renewals hit record levels for 2006, | | | | Date Created: | 02 17 2006 | | | | Agency ID: | | | | | ISL ID: | 000000022659 Original UID: 11441 FIRST WORD: Securities | |
| 8: | | Title: | | | | | Volume/Number: | 2005 Fall | | | | Issuing Agency: | | | | | Description: | Newsletter for investors. In this issue: Be aware of Hurricane Katrina-related scams, Securities Department integral in prosecution of recent fraud cases, Quick access to investment adviser information, Regulatory Agencies, Enforcement Administrative Orders, New edition of Investment Guide now available, Key Filing Dates for 2006 | | | | Date Created: | 10 06 2005 | | | | Agency ID: | | | | | ISL ID: | 000000022660 Original UID: 11442 FIRST WORD: Securities | |
| 9: | | Title: | | | | | Volume/Number: | 2005 Spring/Summer | | | | Issuing Agency: | | | | | Description: | Newsletter for investors. In this issue: Top 10 Threats to Illinois Investors2005, Broker/dealer branch office reporting deadline June 30, Researching your Broker or Investment Adviser, Enforcement Administrative Orders, Administrative Orders now available online, Investor Education reaches out to more than 2,100 Illinois students, Lions, Kiwanis, Rotary Club members, | | | | Date Created: | 06 06 2005 | | | | Agency ID: | | | | | ISL ID: | 000000022661 Original UID: 11443 FIRST WORD: Securities | |
| 10: | | Title: | | | | | Volume/Number: | 2007 May | | | | Issuing Agency: | | | | | Description: | This brochure informs you about the warning signs of a business opportunity scam and what to expect when entering into a legitimate business deal. | | | | Date Created: | 05 01 2007 | | | | Agency ID: | | | | | ISL ID: | 000000022666 Original UID: 11459 FIRST WORD: Avoiding | |
| 11: | | Title: | | | | | Volume/Number: | 2004 December | | | | Issuing Agency: | | | | | Description: | This brochure has tips for persons selecting a business broker, selling a business and buying a business. | | | | Date Created: | 12 02 2004 | | | | Agency ID: | | | | | ISL ID: | 000000022667 Original UID: 11460 FIRST WORD: Business | |
| 12: | | Title: | | | | | Volume/Number: | 2006 January | | | | Issuing Agency: | | | | | Description: | Brochure describing the The Central Registration Depository System, a computerized database that holds licensing information on stockbrokers (or registered representatives) and brokerage firms throughout the country. It tells consumers how to request a report. | | | | Date Created: | 03 06 2006 | | | | Agency ID: | | | | | ISL ID: | 000000022668 Original UID: 11461 FIRST WORD: Checking | |
| 13: | | Title: | | | | | Volume/Number: | 2009 | | | | Issuing Agency: | | | | | Description: | Fact sheet to inform consumers so they can avoid being defrauded. | | | | Date Created: | 10 30 2009 | | | | Agency ID: | | | | | ISL ID: | 000000022680 Original UID: 11473 FIRST WORD: Facts | |
| 14: | | Title: | | | | | Volume/Number: | 2008 | | | | Issuing Agency: | | | | | Description: | Brochure about FSI: Fraud Scene Investigator, a new online, interactive game at www.cyberdriveillinois.com that teaches students about financial fraud. | | | | Date Created: | 06 25 2008 | | | | Agency ID: | | | | | ISL ID: | 000000022682 Original UID: 11475 FIRST WORD: FSI: | |
| 15: | | Title: | | | | | Volume/Number: | 2005 | | | | Issuing Agency: | | | | | Description: | This guide outlines investment options, tips on selecting a broker or investment adviser and the warning signs of investor fraud. Included are sections on business opportunities, loan brokers and business brokers, online trading, and a checklist for investors to use when a broker calls. | | | | Date Created: | 09 30 2005 | | | | Agency ID: | | | | | ISL ID: | 000000022683 Original UID: 11476 FIRST WORD: Investment | |
| 16: | | Title: | | | | | Volume/Number: | | | | | Issuing Agency: | | | | | Description: | This guide outlines investment options, tips on selecting a broker or investment adviser and the warning signs of investor fraud. Included are sections on business opportunities, loan brokers and business brokers, online trading, and a checklist for investors to use when a broker calls. | | | | Date Created: | | | | | Agency ID: | | | | | ISL ID: | 000000025132 Original UID: NA for serial records FIRST WORD: Investment | |
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