ALBUQUERQUE, N.M. – The Construction Industries Division (CID) of the Regulation and Licensing Department announced today that they have recovered a statue that was stolen from the Albuquerque Museum, last week. This recovery was a result of industry cooperation with CID’s Recycled Metals Program.
Santa Fe, N.M. – The New Mexico Regulation and Licensing Department,
Securities Division announced today, that this week, they will be hosting the
National White Collar Crime Center (NW3C) training, “Financial Records
Examination and Analysis.”
SANTA FE, N.M. – New Mexico Securities Division today announced a
training program that provides New Mexico Certified Public Accountants with
free training on investment fraud and financial exploitation. The training is
designed to encourage a mutually beneficial relationship between Certified
Public Accountants and securities regulators to identify and stop investment
SANTA FE, N.M. – A Tucson man, who was indicted for selling fraudulent
securities to an Elderly Carlsbad couple, has pleaded guilty.
LAS CRUCES, N. M. – Dain Leslie Schult of Austin, Texas, and Joel McKay
Hixon of Las Cruces, New Mexico, have been indicted for defrauding New
Mexico investors in a pyramid scheme that promised to use investors’
money to promote “mom and pop” radio stations.
SANTA FE, N.M. – The New Mexico Regulation and Licensing Department’s,
Securities Division has reached a settlement with LPL Financial in connection
with an investigation of LPL’s failure to implement an adequate supervisory
system regarding its sale of non-traded Real Estate Investment Trusts (REITS)
and its failure to enforce its written procedures regarding the sale of non-traded
LOVINGTON, N.M. – A Hobbs man, who was indicted for running a Ponzi
scheme, has pleaded guilty to charges of Fraud, Securities Fraud, and Money
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.
SANTA FE – Two Eddy County business partners, doing business as Dusais Enterprises, LLC, have been arrested and charged with four felony counts for allegedly selling fraudulent and unauthorized securities to Carlsbad investors.
Santa Fe - In the culmination of a joint effort between local law enforcement agencies and the state's Securities Division, William "Bill" Turner, a Broker from Tularosa, was sentenced to serve 9 ½ years for securities fraud. Turner is scheduled to report to the Department of Corrections in Los Lunas, on May 29, 2015 at 2:00 pm.