Investors Should Approach Cryptocurrency with Caution, Delaware’s Investor Protection Unit Says
Department of Justice | Department of Justice Press Releases | Investor Protection | Date Posted: Monday, January 8, 2018
With cryptocurrencies attracting recent headlines, the Investor Protection Unit of the Delaware Department of Justice is urging Delaware investors to be cautious about investments involving cryptocurrencies. “Investors should make certain they understand the risks associated with investments in cryptocurrencies and financial products involving cryptocurrency before they invest,” said Director of Investor Protection Greg Strong. Cryptocurrencies […]
Delaware Department of Justice Announces Top Investor Threats
Department of Justice | Department of Justice Press Releases | Investor Protection | Date Posted: Wednesday, December 13, 2017
Promissory notes, real estate investments, and Ponzi schemes top the list The Delaware Department of Justice released its annual list of top investor threats and reminded Delawareans to use caution when approached with any unsolicited investment opportunities. “All investments involve a degree of risk,” said Attorney General Matt Denn. “Investors can help protect themselves by […]
Moody’s Agrees to Settlement With States and Federal Government Over Securities Ratings
Consumer Protection | Department of Justice | Department of Justice Press Releases | Fraud | Investor Protection | Date Posted: Friday, January 13, 2017
States, USDOJ Alleged Moody’s Inflated Ratings and Contributed To Market Crash. Attorney General Matt Denn joined the U.S. Department of Justice and 20 other attorneys general in announcing a settlement resolving an investigation into Moody’s Corporation, Moody’s Investors Service, Inc., and Moody’s Analytics, Inc. (collectively “Moody’s”) over the companies’ misrepresentations regarding the independence and objectivity […]
Delaware Department of Justice Investor Protection Unit secures settlement with LPL Financial, LLC over Leveraged Exchange Traded Funds
Department of Justice | Department of Justice Press Releases | Investor Protection | Date Posted: Thursday, September 24, 2015
LPL will provide restitution to Delaware investors related to suitability and supervision violations Wilmington – Delaware Attorney General Matt Denn announced that LPL Financial, LLC (LPL) has finalized a settlement with the Delaware Attorney General’s Investor Protection Unit and the Massachusetts Attorney General’s Office to resolve an investigation into LPL’s use of Leveraged Exchange Traded […]
J.P. Morgan Securities to pay $51,400 to Biden’s Investor Protection Unit
Consumer Protection | Department of Justice | Fraud | Investor Protection | Date Posted: Thursday, September 11, 2014
Attorney General Beau Biden announced Thursday that J.P. Morgan Securities has paid the Delaware Department of Justice $51,400 as a result of a settlement with the Attorney General’s Investor Protection Unit. The settlement resolves a multi-state investigation which found that J.P. Morgan Securities failed to ensure that its agents were properly registered in Delaware and other states, and failed to properly record data on trades executed in Delaware and other states.
