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2001 News Releases

• (12/18/2001) Exemption Tables - Summaries of the exemptions from registration available for the offer and sale of securities to residents of the State of Washington go online
  
  
• (11/11/2001) Department issues final Cease and Desist Order against Viatical Funding, Inc., Viatical Marketing, Inc., Viatical Funding LLC-III and Viatical Funding LLC- GI-V.
  
  
• (11/6/2001) Securities Director charges Canadian firm with fraud (PDF)*, Warns phone scammers
  
  
• (10/15/2001) Reminder that use of IARD by investment advisers became mandatory 10/24/2001
  
  
• (9/26/2001) Securities Director urges consumers to use online sources of investing information (PDF)*
  
  
• (9/17/2001) Securities Director warns of investment scams in wake of World Trade Center tragedy (PDF)*
  
  
• (9/10/2001) Nigerian Advance Fee Fraud Scheme resurfaces
  
  
• (11/10/2001) The SEC and the North American Securities Administrators Association announce a new Investment Adviser Public Disclosure (IAPD) website giving investors access to information about money managers, financial planners and other investment advisers
  
  
• (8/28/2001) Investing Online Resource Center revised to give real investing experience
  
  
• (8/3/2001) Everett woman indicted in $5 million investment fraud scheme (U.S. Dept of Justice)
  
  
• (8/7/2001) Securities director warns religion-related investment fraud rising (PDF)*
  
  
• (7/31/2001) Renton firm charged with 'failure to supervise' (PDF)* $2 million in securities sales
  
  
• (4/4/2001) Securities industry and regulators launch combined investor education initiative (PDF)*
  
  
• (4/1/2001) Washington joins investor education campaign (PDF)* in April
  
  
• (3/30/2001) Renton man sentenced to nine years for securities fraud. (U.S. Dept. of Justice)
  
  
• (3/30/2001) Securities Firm agrees to refund $500,000 to investors (PDF)*
  
  
• (3/13/2001) Pay Telephone Schemes targeted by state Securities regulators; losses estimated at $76 million (PDF)*
  
  
• (2/7/2001) Securities Director warns about 'callable' long-term certificates of deposit (PDF)*
  
  
• (2/2/2001) Washington Consumers Receive Checks from California Loan Company's Surety Bond.
  
  
• (1/23/2001) Insurance Commissioner reminds insurance agents to double-check high-return, securities-type products before selling them. (Washington State Office of the Insurance Commissioner)
  
  
• (1/12/2001) Jerry King pleads guilty to bilking investors out of up to $10 million through securities fraud scheme. (U.S. Dept. of Justice)

* This document is a PDF file, and you will need Adobe Acrobat Reader to view it. If you don't already have Acrobat Reader installed on your computer, you may download it for free from Adobe.

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