Real Life Regulators: Financial Fraud

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Real Life Regulators: Financial Fraud

NASAA’s Real Life Regulators podcast spotlights investment fraud cases from the files of state and provincial securities regulators and features interviews with the investigators and attorneys who bring these fraudsters to justice. Taking listeners through the investigative process provides an insider’s view of how to identify an investment scam.

  1. 27 SEPT

    The Lone Wolf

    Today’s episode has a very fitting title “The Lone Wolf”.  Gregory Lone was truly a wolf in sheep’s clothing. Lone purchased a long-standing insurance company based in Wenatchee, Washington, and he specifically targeted older customers who were looking to invest in annuities to help provide a stable financial future. Instead, he stole from seven older investors to help feed his Ponzi scheme putting their financial future in question.

    39 min
  2. Hatching from the Egg to Creating Your Own Nest Egg – Part 3

    7 AUG

    Hatching from the Egg to Creating Your Own Nest Egg – Part 3

    Today’s episode is the final part of the three-part series titled “Hatching from the Egg to Creating Your Own Nest Egg.” Retirement is a goal we all have, and we all hope to obtain one day. This concluding episode will focus on those who are approaching – or are already – in retirement, and will discuss common pitfalls, misconceptions, obstacles and fraud that target hard-earned nest eggs. You’ve worked hard to build your nest egg - Now, protect it!

    42 min
  3. Hatching from the Egg to Creating Your Own Nest Egg – Part 2

    7 JUL

    Hatching from the Egg to Creating Your Own Nest Egg – Part 2

    Today’s episode is part two of a three-part series titled “Hatching from the Egg to Creating Your Own Nest Egg.” This part will focus on the Sandwich Generation. These are the adults that are caring for young kids, older parents, and themselves. During this episode, we will discuss common pitfalls, misconceptions, and the schemes and scams that this generation faces regarding their finances and their future.

    54 min
  4. Hatching from the Egg to Creating Your Own Nest Egg - Part 1

    7 JUN

    Hatching from the Egg to Creating Your Own Nest Egg - Part 1

    Today’s episode is part one of a three-part series titled “Hatching from the Egg to Creating Your Own Nest Egg”. Part one will focus on young adults. Young Adults have so much time to prepare for retirement, but the best time to start planning your future is yesterday. We will discuss common pitfalls, misconceptions, obstacles, and fraud that many young people face regarding finances and their future,

    51 min

  5. 7 MAY

    Ontario Securities Commission Episode

    Today’s podcast is a special episode that was recorded live during the 2024 NASAA Investor Education Training. We talked with representatives from the Ontario Securities Commission and discussed the downfall of crypto asset trading platform Quadriga. Clients entrusted their assets to Quadriga, which provided false assurances that those assets would be safeguarded. In reality, Quadriga’s CEO Gerry Cotten spent, traded and used those assets at will. Gerry Cotten was able to misuse client assets for years, unchecked and undetected, ultimately bringing down the entire platform.

    40 min

  6. 07/08/2023

    Silver Lined Lies

    Today’s episode, “Silver Lined Lies,” was recorded live during the 2023 NASAA Investor Education Conference. We discussed how a small Utah coin shop owner used his storefront to execute the largest Ponzi scheme in Utah history! He did not use an elaborate marketing campaign to advertise his risk-free opportunity but relied on word of mouth to spread his tarnished scheme. The fraud went on for multiple decades as he stole over $200 million from about 500 investors!

    47 min

  7. 11/07/2023

    Failure to Launch

    Many of us currently use virtual communication platforms on a regular basis to communicate with colleagues, customers, friends, and family members. In today’s episode, “Failure to Launch,” our guests will discuss an investigation involving an individual who, starting as early as 2006, raised over $25 million dollars from investors to establish a virtual communication platform that never came to fruition. The platform failed to launch NOT because of a weak internet connection, but because of his fraudulent actions. Though the discussion is based on an actual investigation, please note that certain names, facts, and information have been modified for education and entertainment purposes. Also, the views expressed by the speakers are their own personal views and do not represent the views of the State Corporation Commission or other personnel.

    42 min

  8. 04/05/2023

    Rotten Tomatoes (Part 2)

    Today’s podcast is the concluding episode of our Rotten Tomatoes story. If you have not listened to part 1 yet, we encourage you do to so before you listen to this episode. Rotten Tomatoes details how a career conman stole over two million dollars in less than six months from Alabama investors. He fooled people into investing in his tomato business, but the deal was simply not real. We talk to the prosecutor, investigator and an agriculture journalist that covered the case in great detail.

    33 min
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About

NASAA’s Real Life Regulators podcast spotlights investment fraud cases from the files of state and provincial securities regulators and features interviews with the investigators and attorneys who bring these fraudsters to justice. Taking listeners through the investigative process provides an insider’s view of how to identify an investment scam.

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