Securities Division


Notice: Bryan Addington Sentenced  -  Click Here For Details


To Report Financial Exploitation Click Here


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This division registers securities offerings for sale to the public and licenses broker-dealers, agents, and investment advisers.  Working in close cooperation with the Financial Industry Regulatory Authority and the United States Securities and Exchange Commission, this section also investigates and originates enforcement actions regarding unfair practices, complaints, and violations of law regarding a variety of securities activities.

Uniform Service Member Exemption Form


News and Information:

John Kelly Sentenced For Wire Fraud Conviction
June 21, 2017

Act 47 of the 2017 Regular Session Excludes Certain Investment Adviser Representatives From Examination/Certification Requirements
Effective June 4, 2017

Bryan Addington Pleads Guilty In Securities Fraud Case
March 6, 2017

Investment Adviser Registration Procedure Final Rule
Amendment Effective September 1, 2016

John F. Kelly, III, Pleads Guilty to Wire Fraud

Commissioner Ducrest Issues Order Extending Deadline for Satisfying
Investment Adviser Representative Examination or Certification Requirement

John Steven Blount Sentenced to 19.5 Years for $5.8 Million Ponzi Scheme

Louisiana Sheriffs Host Investment Scam Seminars for Law Enforcement Officers

James Holdman Sentenced In Securities Fraud Case

New Investment Adviser Representative Qualifications
October 3, 2014

NASAA Survey Finds Mid-Sized Investment Advisers Addressing Cybersecurity Risks

Registration of Securities Issued Under Regulation A
Effective August 1, 2014

Changes to SEC Regulation D - FAQs

"Dishonest or Unethical Practices Rule" for Broker-Dealers and Investment Advisers

Crowdfunding Press Release
June 27, 2012

Crowdfunding Advisory
 June 27, 2012

E*TRADE Securities - ARS Settlement

MF Global, Inc. Placed Into Liquidation

Updated July 29, 2011
Investment Adviser Switch to State Regulation

Notice to Investment Advisers - New Form ADV "Part 2" Filing & Use Requirements
October 19, 2010

Stanford Financial Group Updates
The Louisiana Office of Financial Institutions (LOFI) has been working with other state and federal regulatory agencies in an effort to identify and resolve issues relating to various Stanford-related companies operating here in the United States. Click here for Stanford Receiver's web page. Clients and investors may also direct questions to the Receiver via email to info@stanfordfinancialreceivership.com.

Hanover Investment Securities Placed into Liquidation


Updated November 14, 2017