NASHVILLE — The arrival of summer means hot days, long afternoons, and time spent with family and friends boating, camping, and cooking out. However, the COVID-19 pandemic, recent severe weather across Tennessee, and the ongoing economic recovery have created new challenges and risks for Tennesseans this summer.

NASHVILLE – The Tennessee Department of Commerce and Insurance’s (TDCI) Securities Division joins the North American Securities Administrators Association (NASAA) to update the status of the work of the COVID-19 Enforcement Task Force, consisting of state and provincial securities regulators, to identify and stop potential threats to investors stemming from the pandemic.

NASHVILLE – Tennessee’s older adults are oftentimes the targets of scammers, financial con artists, bad actors, and other abusers intent on causing them harm or stealing their financial resources and dignity.

NASHVILLE — In keeping with President Trump’s recognition of May as Older Americans Month, the Tennessee Department of Commerce & Insurance (TDCI) urges families and caregivers of older adults to report instances of elder abuse and learn the red flags that might indicate an elder is being preyed upon — either physically or financially.

NASHVILLE – The Tennessee Department of Commerce and Insurance (TDCI) Securities Division is participating in the North American Securities Administrators Association (NASAA) COVID-19 Enforcement Task Force. Consisting of state and provincial securities regulators, the COVID-19 Enforcement Task Force will identify and stop potential threats to investors stemming from the COVID-19 pandemic.

NASHVILLE – The Treasury Department and the Internal Revenue Service (IRS) will begin distributing COVID-19 Economic Impact Payments in the next few weeks.

The Tennessee Securities Division (“Division”) sets forth this Statement of Policy regarding business disruptions caused by the COVID-19 pandemic that affect broker-dealers, investment advisers, federal covered investment advisers, and their registered agents or representatives (collectively “financial professionals”).

NASHVILLE — Amid the ongoing COVID-19 pandemic, the Tennessee Department of Commerce and Insurance (TDCI) Securities Division is alerting investors to be on guard against an anticipated surge of fraudulent investment schemes.

Regarding ongoing developments related to the coronavirus (COVID-19) pandemic, the Tennessee Department of Commerce and Insurance Securities Division wants to make you aware of steps we are taking to keep our staff and stakeholders safe.

NASHVILLE – The Tennessee Department of Commerce & Insurance’s (TDCI) Securities Division announces that an unlicensed out-of-state investment adviser must pay $33,000 in civil penalties and court costs because of fraudulent transactions involving Tennessee residents.

NASHVILLE – In light of the ongoing developments related to the current coronavirus (COVID-19) situation and its impact on financial markets, the Tennessee Department of Commerce & Insurance’s (TDCI) Securities Division is reminding Tennessee investors to beware of con artists who are seeking to capitalize on fear and uncertainty.

NASHVILLE – The Tennessee Department of Commerce & Insurance (TDCI) Securities Division today announced the top five investment products or schemes likely to trap Tennessee’s investors in the new year and recommended steps they can take to protect themselves from investment fraud.

NASHVILLE – The Tennessee Department of Commerce & Insurance’s (TDCI) Securities Division joins the North American Securities Administrators Association (NASAA) to encourage broker-dealers to use errors and omissions (E&O) insurance as a resource to help meet their potential obligations to pay arbitration awards to their customers.

NASHVILLE – The Tennessee Department of Commerce & Insurance’s Securities Division is warning Tennessee investors about how to avoid becoming a victim of a type of fraud known as affinity fraud.

NASHVILLE – The Tennessee Department of Commerce & Insurance’s (TDCI) Securities Division announces that a Knoxville investment advisor has been permanently barred from working in the securities industry and must pay over $480,000 in civil penalties and court costs.