NASHVILLE – The Tennessee Department of Commerce & Insurance’s (TDCI) Securities Division highlights recent disciplinary actions taken by the agency related to a former Franklin-based investment executive who was recently sentenced to federal prison for stealing from elderly clients.

NASHVILLE —The Tennessee Department of Commerce & Insurance’s (TDCI) Securities Division is partnering with the Investor Protection Trust and PBS Books to produce the “Retirement Readiness for Military Families” virtual event to livestream on TDCI’s Facebook page on Friday, May 28, 2021 at 12:00 p.m. CT/ 1:00 p.m. ET.

NASHVILLE — The Tennessee Department of Commerce & Insurance’s (TDCI) Securities Division is reminding Tennesseans that social isolation, whether voluntary or involuntary, has a direct contribution to the financial exploitation of older investors.

NASHVILLE – A new rule recently adopted by the Tennessee Department of Commerce & Insurance’s (TDCI) Securities Division provides issuers, broker-dealers and Tennessee investors with more clarity when it comes to offers of rescission.

NASHVILLE —The Tennessee Department of Commerce & Insurance (TDCI) Securities Division is partnering with the Investor Protection Trust and PBS Books to produce “Investing: What’s New & What’s Not” virtual event set to livestream on TDCI’s Facebook page on Friday, April 23, 2021 at 12:00 p.m. CT/ 1:00 p.m. ET.

NASHVILLE – As part of Military Saves Month 2021 during April, the Tennessee Department of Commerce & Insurance’s Securities Division is sharing the message of saving successfully and encouraging Tennessee’s military community to save money, reduce debt and build wealth.

NASHVILLE – The Tennessee Department of Commerce & Insurance’s (TDCI) Securities Division today announced that it is sponsoring the EVERFI Financial Literacy Bee, taking place April 1-15, 2021. The EVERFI Financial Literacy Bee is a nationwide financial literacy challenge for high school students.

NASHVILLE — The Tennessee Department of Commerce & Insurance’s (TDCI) Securities Division is partnering with the Investor Protection Trust, Detroit Public Television and PBS Books to produce “The COVID Effect: Restoring Financial Wellness” virtual event to livestream on TDCI’s Facebook page on Friday, March 26, 2021 at 12:00 p.m. CT/1:00 p.m. ET.

NASHVILLE – The Tennessee Department of Commerce & Insurance’s (TDCI) Securities Division, other state regulators and the Commodity Futures Trading Commission recently filed a joint civil enforcement action against Metals.com, Tower Equity, Chase Metals, Barrick Capital and other associated parties. The defendants are accused of perpetrating a fraudulent precious metals investment scheme. The case is significant and is believed to involve approximately 1,600 investors and more than $185 million in customer funds.

NASHVILLE – As part of America Saves Week 2021, (Monday, February 22 – Friday, February 26, 2021), the Tennessee Department of Commerce & Insurance’s (TDCI) Securities Division is encouraging Tennesseans to focus on the importance of emergency savings and saving automatically in an effort to better prepare Americans for the unexpected, such as the COVID-19 pandemic.

NASHVILLE – The Tennessee Department of Commerce & Insurance’s (TDCI) Securities Division today called on firms and other regulated entities to ensure that investor protection obligations are being met during recent price volatility in shares of certain publicly traded companies.

NASHVILLE — The Tennessee Department of Commerce & Insurance’s (TDCI) Securities Division is reminding financial service registrants, particularly state-registered investment advisers and intrastate broker-dealers, to report any known issues or concerns related to the recent SolarWinds cybersecurity incident to their primary securities regulator.

NASHVILLE — The Tennessee Department of Commerce & Insurance (TDCI) proudly announces that Rachel Carden has joined the TDCI team as the Director of Investor Education for the Securities Division.

NASHVILLE — The Tennessee Department of Commerce and Insurance (TDCI) Securities Division is among 30 state securities regulators to raise concerns about a recent proposal by the U.S. Securities and Exchange Commission (SEC) that would make more investors vulnerable to sales pitches for high-risk private securities from unregistered and unsupervised financial brokers.

NASHVILLE — The Tennessee Department of Commerce & Insurance’s (TDCI) Securities Division along with the North American Securities Administrators Association (NASAA) and FINRA (Financial Industry Regulatory Authority) are encouraging Tennessee investors to proceed cautiously when it comes to new investment opportunities as fraudsters continue to take advantage of the buzz surrounding companies promoting products and services related to the COVID-19 pandemic.