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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.
SANTA FE – An Albuquerque investment firm and its owner involved in an illegal scheme of selling veterans benefits as investments to New Mexico residents have agreed to surrender their securities licenses immediately, the New Mexico Regulation and Licensing Department’s Securities Division announced today.
SANTA FE - The New Mexico Regulation and Licensing Department’s Securities Division is warning military members and their families to protect themselves against investment fraud during the Military Saves Week (February 24 - March 1).
Santa Fe – The New Mexico State Senate on Tuesday confirmed the nomination of Alan R. Wilson as director of the State Regulation and Licensing Department’s Securities Division. Governor Susana Martinez appointed Wilson to the post