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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 – State Securities Division Director Alan R. Wilson today issued Notices of Contemplated Action against two financial institutions and their brokers, alleging they breached their duties as investment brokers that contributed to a financial crisis at the Bernalillo County Treasurer’s Office.
Santa Fe – Following the outbreak of Ebola in western Africa and its appearance in North America, the New Mexico Regulation and Licensing Department’s Securities Division today cautioned investors to beware of opportunistic Internet-based investment schemes related to the disease.
ALAMOGORDO – Albuquerque businessman Jeffrey B. Bland has been indicted on felony charges for allegedly stealing $229,000 from an 88-year-old Alamogordo investor.