This division registers securities offerings
for sale to the public and licenses broker-dealers, agents, and investment
advisers. Working in close cooperation with the Financial Industry
Regulatory Authority and the United States Securities and Exchange Commission,
this section also investigates and originates enforcement actions regarding
unfair practices, complaints, and violations of law regarding a variety of
securities activities.
Updated July 29, 2011
Investment
Adviser Switch to State Regulation
Ray Aguillard Sentenced to 20 Years
for Investment Fraud
May 12, 2011
Depositories of Records Policy
Amended January 27, 2011
William and Cheryl Chaucer Plead Guilty to
Securities Fraud
January 19, 2011
Silas Mayeux Charged
with Racketeering and Securities Fraud
December 9, 2010
Notice to Investment Advisers -
New Form ADV "Part 2" Filing & Use
Requirements
October 19, 2010
Investor Alert
BP Oil Spill Investments
Ray Aguillard Pleads Guilty to Investment Fraud
July 22, 2010
Matthew Pizzolato
Sentenced
to 30 Years in Prison for Ponzi Scheme
July 22, 2010
Evers Harris Indicted for Investment Fraud
Stanford Financial Group Updates
The Louisiana Office of
Financial Institutions (LOFI) has been working with other state and federal
regulatory agencies in an effort to identify and resolve issues relating to
various Stanford-related companies operating here in the United States. Click
here for
Stanford Receiver's web page. Clients and investors may also direct questions to
the Receiver via email to info@stanfordfinancialreceivership.com.
Domenique Perez Sentenced to 10 Years for
Securities-Related Theft
William Chaucer Arrested for Alleged Ponzi Scheme
November 20, 2009