Press Releases - 2003

December 26, 2003
Commission Approves Credit Suisse Settlement

December 23, 2003
Commission Pulls Two Licenses, Suspends Another

October 17, 2003
Insurance Salesman Agrees To Return Commissions Earned on Pay Telephone Contracts

September 19, 2003
Arizona Settlement Ends Probe of Six Wall Street Firms

September 19, 2003
Mesa Pastor Fleeces His Flock, Insurance Salesman and Investment Club Trader Consent to Commission Orders

September 5, 2003
Regulators Warn Seniors to Be on Lookout For Fraud

August 28, 2003
Commission Corks Fine Wine Scheme - Sanctions Others For Fraud

July 18, 2003
Commission Issues Second Order in Dot-Com Case

July 17, 2003
Commission Obtains Final Judgment in Charitable Gift Annuities Case-$1.4 Million Recovered for Investors, Defendants Face Additional Charges

July 2, 2003
Scottsdale Man Arrested for Defrauding Investors in Viatical Scheme

June 30, 2003
Benjamin Franklin Cook Sentenced to 17.5 years in Prison - Ponzi Scheme Operator Pled to 3 Counts of Theft, Judge Orders Jail Time, Probation & Restitution

June 20, 2003
Agents Warned Not to Violate Order in Yucatan Timeshare Case - New Information Suggests Offers & Sales May Be Continuing

May 28, 2003
Commission Levies Charges Against Resort Timeshare Program - Indiana Man and Three International Companies Charged with Securities Fraud

May 22, 2003
Some 100 Investors Lured Into Promissory Note Scheme - Scottsdale Resident Targeted Valley Investors

May 13, 2003
Commission Approves Settlement with UBS Paine Webber and UBS Warburg - Arizona to receive $395,321 from agreement

May 12, 2003
Investor Advisory: Mortgage Counselors Pushing Risky Promissory Notes

April 30, 2003
Securities Regulators Launch Fraud Awareness Quiz

April 28, 2003
Arizona to Receive $6.13 Million in Wall Street Settlement, Historic Settlement Requires Brokerage Houses to Pay Fines, Fund Independent Research and Fund Investor Education Programs

April 18, 2003
Commission Concludes Factoring Investment Case, Takes Action on Promissory Note Scheme

April 1, 2003
Arizona Savings & Investment Month Campaign Features Public Presentations Around Arizona

April 1, 2003
Become an Educated Investor, Speakers Available

April 1, 2003
Educating Investors Focus of April Savings & Investing Month Campaign

March 21, 2003
Commission Slams Door On Boiler Room & Sanctions Others For Securities Fraud

March 20, 2003
Fear of War, Terrorism Could Be Exploited By Con Artists

February 28, 2003
Sedona Woman Goes From Red Rocks to Hard Time - Star Mathias Sentenced in Promissory Note Scheme

February 12, 2003
Commission Reaches $4.3 Million Settlement With a Phoenix Children's Foundation

February 5, 2003
"Tag-Team" Fraudsters Net Prison Time For Securities Fraud

January 23, 2003
Commission Orders Over $9 Million For Investors Defrauded in Factoring Program, “Investment Club” and Mining Operation

January 16, 2003
Arizona Approves Merrill Lynch Settlement - Arizona to get $854,732 from agreement

January 7, 2003
Sedona Securities Salesman Accused of Defrauding Frail Client