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.
Thursday, August 15, 2019 | 07:12am
Monday, August 05, 2019 | 08:43am
NASHVILLE – With a new school year getting underway this week for many Tennessee parents and students, the Tennessee Department of Commerce and Insurance (TDCI) is reminding consumers that education doesn’t stop in the classroom. TDCI’s divisions are offering consumers tips and reminders to help ensure your back-to-school season is safe and scam-free after school is in session.
Monday, June 10, 2019 | 10:21am
NASHVILLE – As financial scammers continue targeting Tennessee’s vulnerable adults, Governor Bill Lee has proclaimed Saturday, June 15, 2019 as Elder Abuse Awareness Day in Tennessee. In anticipation of this day, the Tennessee Department of Commerce and Insurance’s (TDCI) Securities and Consumer Affairs divisions are joining other Tennessee state agencies to warn seniors and their families in order to help them avoid falling victim to identity theft, financial abuse and scams.
Judge Upholds Denial of Franklin Man’s Financial Adviser Applications, Orders $5K Payment for Court CostsThursday, May 30, 2019 | 01:43pm
NASHVILLE – The Tennessee Department of Commerce and Insurance’s (TDCI) Division of Securities announces a Nashville judge has upheld the denial of Franklin, Tenn. resident David Antypas’ investment-advisor and broker-dealer applications stemming from an investigation into a complaint about Antypas’ earlier work as a financial adviser for an elderly Mt. Juliet woman. Additionally, Antypas must pay $5,000 in costs related to a court hearing held at his request about the matter.
Friday, February 22, 2019 | 09:00am
In recognition of America Saves Week (Feb. 25 – March 2, 2019) the Tennessee Department of Commerce and Insurance (TDCI) Securities division and the North American Securities Administrators Association (NASAA) are reminding Tennessee consumers of the importance of smart saving, financial planning, and investing.
Wednesday, February 20, 2019 | 09:47am
While the offer of free meals, door prizes, or free advice may lead you to attend a seminar when you wouldn’t otherwise, the Tennessee Department of Commerce and Insurance (TDCI) is reminding consumers that many insurance and financial firms contact middle-aged and older adults or host free meal seminars with the goal of selling insurance and financial products or services.
Tuesday, February 12, 2019 | 10:17am
NASHVILLE – Bringing national attention to the Volunteer State, promoting investor education and enforcing Tennessee’s securities laws highlighted the accomplishments of the Tennessee Department of Commerce & Insurance’s (TDCI) Securities division team in 2018.
Friday, November 16, 2018 | 01:05pm
NASHVILLE – In recognition of International Fraud Awareness Week, the Tennessee Department of Commerce and Insurance’s (TDCI) Securities Division is raising awareness of the risks associated with investing in promissory notes.
Friday, November 09, 2018 | 08:11am
NASHVILLE – Though they served their nation admirably, Tennessee’s military members and their families are frequently the target of scammers intent on doing them financial harm. As the nation prepares to honor those who have served in the armed forces this Veterans Day (Nov. 12), the Tennessee Department of Commerce and Insurance’s (TDCI) Divisions of Consumer Affairs and Securities remind Tennesseans about scams targeting veterans and how they can be avoided.