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When any final disciplinary actions are completed, the Board will update this page to reflect that information. Any other disciplinary actions taken by this Board prior to July 2011 can be obtained by filing a public information request.
LAS CRUCES, N.M. – The Construction Industries Division (CID) of the
Regulation and Licensing Department warns New Mexicans, especially those
who live in areas recently affected by hailstorms, to be wary of unlicensed
contractors and contractors performing unpermitted work.
ALBUQUERQUE, N.M. – Oppenheimer & Co. Inc. (Oppenheimer), after admitting to potential deficiencies in the sale of bonds to the Bernalillo County Treasurer's Office and in their supervision of the employee who sold the bonds, has agreed to a $215,000 settlement with the Securities Division of the Regulation and Licensing Department
Santa Fe, N.M. – The Securities Division of the Regulation and
Licensing Department provided training at the State Bar of New Mexico
2015 Annual Meeting in order to educate New Mexico lawyers on
investment fraud and financial exploitation prevention.