News and Information

News Archives by Year

TDCI Securities Division: Nearly $600,000 in Fines, Penalties Assessed in 2017

TDCI Securities Division Urges Caution When Investing in Cryptocurrency

Former Hendersonville Broker Faces $103K Fine for Misappropriation of Funds

TDCI: Use Caution When Investing Through a Social Network

TDCI Securities Division Joins Movement to Shine a Spotlight on Fraud

TDCI’s Securities Division Takes Action on Behalf of Tennessee Consumers

TDCI Securities Division to Participate in Gibson Co. Senior Fair October 5

TDCI Securities Division Shares Tips on How to Develop a Financial Plan

TDCI Securities Division Issues Binary Options Advisory

Registration of “M&A brokers” under the Tennessee Securities Act of 1980 [pdf]

TDCI Securities Division Backs Industry Push to Detect & Prevent Senior Investment Fraud

TDCI Shares 10 Basic Securities Fraud Prevention Tips

Securities 101: Do You Know the Difference Between Stocks & Bonds?

Alabama Investment Company Barred from Tennessee’s Securities Industry

Gallatin Company Ordered to Cease & Desist Illegal Sale of Securities

Retirement Report: July 7th, 2017

TDCI Shares Consumer Protection Tips for Seniors on World Elder Abuse Awareness Day

Madison Concert Promoter Faces $15,000 Fine, Disbarment 

Nashville Resident Barred From Working as Investment Adviser, Fined $10,000

Securities Regulatory Forum 5-15-2017 Video 

Is Your Investment Professional Safeguarding Your Financial Information?

TDCI Securities Division Shares Tips on Avoiding Top Investor Threats

TDCI to Participate in Fayetteville’s “Don’t Be Fooled” Seminar on April 4th

Texas-based Investment Company Cited for Tennessee Securities Violation

Nashville Oil and Gas Investment Company Barred for Securities Violations

A Guide for Developing Practices and Procedures for Protecting Senior Investors and Vulnerable Adults from Financial Exploitation [pdf]

TDCI & BBB Host March 2nd Investor Education Event in Nolensville

TDCI Fraud Investigators Provide Scam Prevention Education for Seniors

TDCI: Conduct Research Before Committing to New Investments in 2017

TDCI Assists FBI in Investigating Chattanooga-based Investor Scheme

TDCI Securities Division: 18 Disciplinary Actions Taken in 2016

Collierville Investment Company Ordered to Cease & Desist Illegal Sale of Securities

TDCI Cites Murfreesboro-based Businesses, Operator for Securities Fraud

Investment Company Barred for Selling Illegal Securities in Wayne County

NPT Presents Aging Matters | Abuse and Exploitation Panel Discussion

Notice of Rulemaking Hearing 12-7-2016 [pdf]

TDCI Cites Hendersonville-based Corporations, Principals for Securities Fraud

Rulemaking Hearing Rule(s) Filing Form 10-7-2016 [pdf]

Tennessee Securities Division Helps Fight Elder Financial Abuse

Hendersonville Company Ordered to Cease & Desist Sale of Securities

Former West Tennessee Insurance Agent Loses License, Fined $3,000

NASAA Releases Guide to Practices and Procedures for Protecting Senior Investors and Vulnerable Adults from Financial Exploitation

TDCI Imposes Securities Penalty on Fraudulent Operator of HUGEROI.COM

Cybersecurity Ransomware Alert [pdf]

Charles Sims Jr. August 3, 2016

The Home Email Business Corp. May 23, 2016

Clifton Alexander and March 31, 2016

Blackgold Resources, Inc. August, 2016

TDCI Helps SEC, FBI Halt Chattanooga-based Stock Scheme

Scott B. Chitwood July 21, 2016

TDCI Securities Division Offers Tips to Develop a Savings & Investing Strategy

World Elder Abuse Awareness Day June 15

TDCI Securities Division Issues Investor Alert about Binary Options Schemes

TDCI Securities Division Revokes License of Franklin Securities Broker-Dealer

Anthony Dean Myers, Sr. May 24, 2016

Professional Privilege Tax Reminder

Securities: Tennessee Investors Shouldn’t Be Afraid to Ask Tough Questions

TDCI Securities Division Fights Fraud with Financial Services Investigations Unit

TDCI Securities Division Offers Self-Defense Tips for Senior Investors

TDCI Securities Division Warns Tennesseans of Pension Scams

Securities Retiring Agents Bulletin [pdf]

Tennessee Finalizes Agreement with LPL Regarding Sales of Non-Traded REITS

Brentwood CEO Pleads Guilty in Multimillion Dollar Fraud Case

Gold Investment Advisory [pdf]

Military Saves Week [pdf]

10 Tips to Protect your Nest Egg [pdf]

Electronic Signatures & Investment Documents [pdf]

Model Act to Protect Seniors [pdf]

NASAA Launches Senior-Focused Website