Michigan Securities Laws Information Center
The Michigan securities laws serve two primary purposes; to regulate the raising of capital in the state, and to provide protections for investors.
The Michigan securities laws can be accessed here.
Maryland Securities Laws Information Center
The Maryland securities laws serve two primary purposes; to regulate the raising of capital in the state, and to provide protections for investors.
The Maryland securities laws can be accessed here.
Maine Securities Laws Information Center
The Maine securities laws serve two primary purposes; to regulate the raising of capital in the state, and to provide protections for investors.
The Maine securities laws can be accessed here.
Louisiana Securities Laws Information Center
The Louisiana securities laws serve two primary purposes; to regulate the raising of capital in the state, and to provide protections for investors.
The Louisiana securities laws can be accessed here.
Kentucky Securities Laws Information Center
The Kentucky securities laws serve two primary purposes; to regulate the raising of capital in the state, and to provide protections for investors.
The Kentucky securities laws can be accessed here.
Kansas Securities Laws
The Kansas securities laws serve two primary purposes; to regulate the raising of capital in the state, and to provide protections for investors.
The Kansas securities laws can be accessed here.
Iowa Securities Law
The Iowa securities laws serve two primary purposes; to regulate the raising of capital in the state, and to provide protections for investors.
The Iowa securities laws can be accessed here.
Indiana Securities Laws
The Indiana securities laws serve two primary purposes; to regulate the raising of capital in the state, and to provide protections for investors.
The Indiana securities laws can be accessed here.
FINRA, Illinois bar David Hackney, former broker with LPL.
On June 23, 2015 the state of Illinois, through its Secretary of State’s Securities Division published a consent order revoking David Hackney’s securities salesperson and investment advisor registrations, and permanently barred him from selling securities in the state of Illinois.
The Securities Divisions’ complaint stems from an investigation into excessive trading in at least three elderly customer accounts while Hackney was a registered representative with LPL Financial.
Thomas Hayes, former broker with Bosc sued by Bernalillo County over bond portfolio losses.
On November 20, 2014 the state of New Mexico’s Securities Division issued an opinion and notice of contemplated action against Thomas Hayes, a former registered representative with Bosc, Inc., as well as Bosc, Inc. for making unsuitable investment recommendations on behalf of the Bernalillo County Treasurer’s office.
The Securities Divisions’ complaint stems from an investigation into portfolio losses suffered by Bernalillo County via its investments in Fannie Mae and Freddie Mac bonds. The investigation found that the portfolio constructed by Hayes exposed the county to significant risk, far outweighing any potential gains expected to be realized. In order to mitigate the risk, the county sold the portfolio and incurred a $16 million loss
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