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Investment Adviser Guide
Investor Education Program
- A Real Hawaii Story on Investment Fraud
- A Victim’s Story: Financial Planner
- Affinity Fraud
- Ask Questions
- Calendar of Events
- Catch the Waves of Investor Protection
- Checklist – Before You Invest
- Common Threats to Hawaii Investors
- Crowdfunding – Informed Investor Alert
- Crowdfunding – Small Business Advisory
- Exchange Traded Funds
- Financial Designations
- Hawaii’s Fraud Prevention & Resource Guide
- How to Protect Your Nest Egg
- How to Spot a Con Artist
- Investor Bill of Rights
- Investor Protection – 10 Tips
- Ponzi Schemes
- Project Financial Literacy: Investor Education For ALL
- Social Networking
- Union Outreach
- Who Is Helping You Invest?
- Who We Are
Main
- Commissioner’s Corner
- February 2020
- Financial Literacy Fair at Tamarind Park
- HAWAII ADOPTS NEW RULE REQUIRING CONTINUING EDUCATION FOR INVESTMENT ADVISER REPRESENTATIVES
- INVESTOR ALERT: COVID-19 RELATED INVESTMENT SCAMS
- January 2020
- NEWS RELEASE: DCCA Names Ty Nohara as Hawaii Commissioner of Securities and Head of the Department’s Business Registration Division
- NEWS RELEASE: DCCA Promotes SmartCheck Scam Jam Events to Educate Public about Financial Fraud
- NEWS RELEASE: State Hosts 9th Annual Financial Literacy Fair
- RELEASE: DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS JOINS $17 MILLION MULTISTATE ENFORCEMENT SETTLEMENT WITH EDWARD JONES
- RELEASE: HAWAIʻI TO RECOUP OVERCHARGES FOR INVESTORS IN COMMODITY FIRM BANKRUPTCY
- RELEASE: HIGH SCHOOL TEAMS TO COMPETE IN THE 2023 HAWAIʻI LIFESMARTS STATE COMPETITION
- RELEASE: NEW RULE REQUIRING CONTINUING EDUCATION FOR INVESTMENT ADVISER REPRESENTATIVES
- RELEASE: REGISTRATION OPENS FOR 2025-2026 HAWAIʻI LIFESMARTS COMPETITION
Materials
- A Real Hawaii Story on Investment Fraud
- A Victim’s Story: Financial Planner
- Affinity Fraud
- Ask Questions
- Checklist – Before You Invest
- Common Threats to Hawaii Investors
- Crowdfunding – Informed Investor Alert
- Crowdfunding – Small Business Advisory
- Exchange Traded Funds
- Financial Designations
- How to Protect Your Nest Egg
- How to Spot a Con Artist
- Investor Bill of Rights
- Investor Protection – 10 Tips
- Ponzi Schemes
- Social Networking
- Union Outreach
- Who Is Helping You Invest?
News Releases
- Business Registration Information Release No. 12-01
- State Regulators and Sia Unveil New Investor Education Brochure; “How-To” Guide Takes Investors On A Guided Tour Of the Typical Statement
- “Take Charge of Your Money 2!” financial education television series televised this Summer
- Battys to Cease Sale of Securities in Fraudulent Bed and Breakfast Venture
- BREG Information Release 16-02: Updated Business Registration Division Fee Listing
- BREG INFORMATION RELEASE: TEMPORARY REDUCTION IN SECURITIES, FRANCHISE, TRADE NAME, TRADEMARK, AND SERVICE MARK FILING FEES
- Brokerage Firm Agrees to Refund Hawaii Investors and Pay Restitution for Violating the Law
- BUSINESS REGISTRATION DIVISION INFORMATION RELEASE: Act 54, Relating to Securities
- BUSINESS REGISTRATION DIVISION INFORMATION RELEASE: UPDATED BUSINESS REGISTRATION DIVISION FEE LISTING
- Business Registration Information Release 11-01
- Business Registration Information Release 13-01
- BUSINESS REGISTRATION INFORMATION RELEASE 16-01: Temporary Reduction in Securities and Franchise Filing Fees
- Business Registration Information Release No. 10-01 January 4, 2010
- BUSINESS REGISTRATION INFORMATION RELEASE NO. 14-01
- BUSINESS REGISTRATION INFORMATION RELEASE NO. 15-01
- Callable CDs
- Cease & Desist – Shannon Fuller
- Cease & Desist – David Low
- Commissioner of Securities Issues Emergency Order to Help Investment Professionals Displaced by Hurricane Katrina
- Commissioner of Securities Issues Order Against Vizion One as Illegal Pyramid Scheme
- Commissioner of Securities Issues Order Against Women Empowering Women Gifting Circle Pyramid Scheme
- Commissioner Orders Cease & Desist To Noel Manuel
- DCCA Announces Continued Fee Cuts For Hawaii Businesses
- DCCA Announces More Than $2 Million Dollars in Fee Cuts
- DCCA Announces New Hotline to Report Investment Fraud
- DCCA HOSTS 10TH ANNUAL FINANCIAL LITERACY FAIR IN DOWNTOWN HONOLULU
- DCCA Issues Warning for Hawaii Investors
- DCCA Names Top 10 Threats to Investors
- DCCA Names Tung Chan As Hawaii Commissioner Of Securities
- DCCA’s Education Specialists Extend Neighbor Island Community Outreach Program
- DCCA’s Investor Education Program targets Neighbor Islands
- Department of Commerce Warns Public to Beware of Illegal Pyramid Investment Schemes
- Emergency Order Due to Hurricane Katrina
- Equinox Ordered Dissolved; Millions In Assets To Be Liquidated For Restitution To Alleged Pyramid Victims
- Final Order against Timothy Grant, a salesperson of Money Wise Financial Services
- Form D Filing Fee Reduced by 50%
- Hawai`i Commissioner of Securities Cautions Investors Against Making Sudden Decisions Amid Wall Street Crisis
- Hawai`i Commissioner of Securities Reminds Auction Rate Securities Investors to Contact Firms About Buyback Offers
- Hawai`i Focuses on Fraud Prevention During America Saves Week
- Hawai`i Securities Commissioner Encourages
- Hawai`i Securities Commissioner Issues a Cease and Desist Order Against Glenn A. Gates
- Hawai`i Securities Commissioner Issues Cease and Desist Order Against Oil & Gas Joint Venture
- Hawai`i Securities Commissioner Orders Sheila Turner to Cease Sale of Unregistered Securities
- Hawai`i Securities Commissioner Orders Theodore T. Chinen, Teddy Tanaka Associates, Inc. and Trinity National LLC to Cease and Desist Sale of Unregistered Securities
- Hawai`i’s Securities Commissioner Orders Marvin Ray Cooper and Billions Coupons, Inc. to Cease and Desist Operation of an Illegal Ponzi Scheme Targeting the Deaf Community
- Hawaii Commissioner of Securities Announces Fee Waiver & Reduction for Investment Advisors
- Hawaii Commissioner Of Securities Hosts Investor Education Fairs
- Hawaii Commissioner of Securities Urges Big Island Residents To Participate In Free Investor Education Forum
- Hawaii Commissioner Of Securities Urges Kauai Residents To Participate In Free Investors Education Forum
- Hawaii Commissioner Of Securities Urges Kauai Residents To Participate In Free Investors Education Forum
- Hawaii Commissioner of Securities Warns Senior Investors to Check Credentials of “Senior Specialists”
- Hawaii Joins Investor Education Campaign in April
- Hawaii Joins Investor Education Campaign in April
- HAWAII TEAM PLACES THIRD AT 22nd ANNUAL NATIONAL LIFESMARTS CHAMPIONSHIP
- HCEE – Hawaii SMS
- Helpful Tips for Franchise Filings
- Honolulu Advertiser March 6, 2013
- INTERPRETIVE ORDER NO. 2023-1
- Investing Online Resource Center
- Investment Adviser Alert (Changes under Dodd-Frank)
- Investment Frauds Using Religion on the Rise
- INVESTOR ALERT: COVID-19 RELATED INVESTMENT SCAMS
- IOLANI SCHOOL TEAM WINS LIFESMARTS HAWAII STATE COMPETITION
- Legal Ad
- Local Con Artists Ordered to Pay $1 Million Fine for Ponzi Scheme
- News Release: DCCA Calls on Teams to Compete in Statewide Competition
- NEWS RELEASE: DCCA Congratulates Iolani School Students for a Strong Finish at the National LifeSmarts Competition
- NEWS RELEASE: DCCA Promotes SmartCheck Scam Jam Events to Educate Public about Financial Fraud
- NEWS RELEASE: Hawaii Securities Commissioner Urges Citizens to Report Elder Abuse
- News Release: LifeSmarts Top 4 Teams to Compete in State Competition
- News Release: Open Registration Begins for Statewide LifeSmarts Competition
- NEWS RELEASE: State Commissioner of Securities Orders Concert Promoters Ferdinand C. Jacobe, Gina T. Carlos and P.B.C. Productions, LLC to Cease and Desist
- News Release: State Holds Financial Literacy Fair for Public
- NEWS RELEASE: State Hosts 9th Annual Financial Literacy Fair
- News Release: State Orders Bing Long Yee to Cease and Desist
- News Release: State Orders Nani Laura Kiyabu to Cease and Desist
- News Release: Team from Oahu Wins State’s LifeSmarts Competition
- News Release: Top 4 High School Teams to Compete at LifeSmarts State Finals
- Notice of Public Hearing for Proposed Change to Securities Rule
- Notice to Investment Advisers: Changes under Dodd-Frank
- Office of the Securities Commissioner Urges Citizens to Report Elder Abuse
- Online Investors Get 10 Tips From Securities Regulators
- Payphone
- Prime Bank Scams Are On The Rise
- RELEASE: ‘IOLANI SCHOOL WINS THE 2025 HAWAIʻI LIFESMARTS STATE COMPETITION
- RELEASE: “WAIPAHU 3” TEAM WINS 2022 HAWAII LIFESMARTS STATE COMPETITION
- RELEASE: DCCA JOINS $106 MILLION MULTISTATE SETTLEMENT WITH VANGUARD
- RELEASE: DCCA WARNS PUBLIC TO BEWARE OF ILLEGAL PYRAMID INVESTMENT SCHEMES
- RELEASE: DCCA, 31 OTHER STATES, AND SEC TO SETTLE WITH BLOCKFI FOR $100 MILLION
- RELEASE: DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS JOINS $17 MILLION MULTISTATE ENFORCEMENT SETTLEMENT WITH EDWARD JONES
- RELEASE: DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS PARTNERS WITH CFTC AND 26 STATE SECURITIES REGULATORS TO STOP $68 MILLION PRECIOUS METALS SCHEME THAT TARGETED THE ELDERLY
- RELEASE: FINAL HIGH SCHOOL TEAMS SET FOR THE 2022 HAWAII LIFESMARTS VIRTUAL STATE COMPETITION
- RELEASE: FRANCHISE FILINGS DEADLINE EXTENDED
- RELEASE: HAWAIʻI JOINS SUIT TO CHARGE PRECIOUS METALS DEALER ENGAGING IN MORE THAN $60 MILLION FRAUD SCHEME
- RELEASE: HAWAIʻI TEAM WINS 2023 NATIONAL LIFESMARTS CHAMPIONSHIP
- RELEASE: HAWAIʻI TO RECOUP OVERCHARGES FOR INVESTORS IN COMMODITY FIRM BANKRUPTCY
- RELEASE: HAWAII INVESTORS IN $185M ALLEGED PRECIOUS METALS SCHEME URGED TO FILE CLAIMS TO RECOVER FUNDS
- RELEASE: HAWAII JOINS CFTC TO CHARGE PRECIOUS METALS DEALERS IN $185M SCHEME
- RELEASE: HAWAII LIFESMARTS PROGRAM RECEIVES TOP NATIONAL HONOR
- RELEASE: Hawaii Securities Commissioner Introduces Senior$afe Training Program to Fight Senior Financial Abuse
- RELEASE: HAWAII TEAM WINS 2ND PLACE AT ANNUAL NATIONAL LIFESMARTS CHAMPIONSHIP
- RELEASE: HIGH SCHOOL TEAMS TO COMPETE IN THE 2020 HAWAII LIFESMARTS STATE COMPETITION
- RELEASE: HIGH SCHOOL TEAMS TO COMPETE IN THE 2023 HAWAIʻI LIFESMARTS STATE COMPETITION
- RELEASE: HIGH SCHOOL TEAMS TO COMPETE IN THE 2024 HAWAIʻI LIFESMARTS STATE COMPETITION
- RELEASE: IOLANI SCHOOL WINS THE 2018 HAWAII LIFESMARTS STATE COMPETITION
- RELEASE: KALANI HIGH SCHOOL WINS 2024 HAWAI’I LIFESMARTS STATE COMPETITION
- RELEASE: MARYKNOLL SCHOOL WINS 2023 HAWAI’I LIFESMARTS STATE COMPETITION
- RELEASE: NEW RULE REQUIRING CONTINUING EDUCATION FOR INVESTMENT ADVISER REPRESENTATIVES
- RELEASE: Registration Now Open for the 2018-2019 Hawaii LifeSmarts Competition
- RELEASE: REGISTRATION OPEN FOR 2019-2020 HAWAII LIFESMARTS COMPETITION
- RELEASE: REGISTRATION OPENS FOR 2023-2024 HAWAIʻI LIFESMARTS COMPETITION
- RELEASE: REGISTRATION OPENS FOR 2024-2025 HAWAIʻI LIFESMARTS COMPETITION
- RELEASE: REGISTRATION OPENS FOR 2025-2026 HAWAIʻI LIFESMARTS COMPETITION
- RELEASE: Registration Opens for Hawaii LifeSmarts Competition
- RELEASE: RONALD NIEDERPRUEM AND RON NIEDERPRUEM, LLC ORDERED TO SUSPEND BUSINESS OPERATIONS BY SECURITIES COMMISSIONER
- RELEASE: ROOSEVELT HIGH SCHOOL WINS LIFESMARTS HAWAII STATE COMPETITION
- RELEASE: Securities Commissioner Issues a Cease and Desist Order Against Nathan McCotter
- RELEASE: SECURITIES COMMISSIONER ORDERS CEASE AND DESIST AGAINST SHEILA TURNER-SOUZA, BURT L. “COACH” SOUZA, AND THEIR AFFILIATED COMPANIES
- RELEASE: SECURITIES COMMISSIONER ORDERS LAWRENCE STOGDELL AND COMPANIES TO CEASE AND DESIST SALE OF SECURITIES IN ALOHA PACIFIC CENTER
- RELEASE: Securities Commissioner Orders Leilani Embernate and Joycelyn Embernate to Cease and Desist
- RELEASE: STATE HOSTS 12TH ANNUAL FINANCIAL LITERACY FAIR IN DOWNTOWN HONOLULU
- RELEASE: STATE HOSTS 13TH ANNUAL FINANCIAL LITERACY FAIR IN DOWNTOWN HONOLULU
- RELEASE: STATE HOSTS 2021 PROJECT FINANCIAL LITERACY: INVESTOR EDUCATION FOR ALL
- RELEASE: STATE HOSTS FINANCIAL LITERACY ON THE GO! — INVESTOR EDUCATION FOR ALL
- RELEASE: STATE ISSUES WARNING ABOUT INVESTMENT SCHEMES CIRCULATING ON SOCIAL MEDIA
- RELEASE: STATE TO HOST ANNUAL FINANCIAL LITERACY FAIR IN DOWNTOWN HONOLULU
- RELEASE: STATE TO HOST ANNUAL FINANCIAL LITERACY FAIR IN DOWNTOWN HONOLULU
- RELEASE: STATE WARNS OF UNOFFICIAL ANNUAL BUSINESS REPORT SOLICITATIONS
- RELEASE: SURF’S UP FOR STATE’S “CATCH THE WAVES OF INVESTOR PROTECTION” CAMPAIGN
- RELEASE: TEAMS INVITED TO REGISTER FOR THE 2021-2022 HAWAII LIFESMARTS COMPETITION
- RELEASE: TEAMS INVITED TO REGISTER FOR THE 2022-2023 HAWAII LIFESMARTS COMPETITION
- RELEASE: THE STATE OF HAWAIʻI JOINS MULTI-JURISDICTIONAL SETTLEMENT WITH GS PARTNERS
- RELEASE: TOP 4 HIGH SCHOOL TEAMS TO COMPETE IN THE HAWAII LIFESMARTS STATE COMPETITION
- RELEASE: Top 4 High School Teams to Compete in the Hawaii LifeSmarts State Competition
- RELEASE: Top 4 High School Teams to Compete in the Hawaii LifeSmarts State Competition
- RELEASE: TOP INVESTOR THREATS FOR 2021
- Risky ‘Death Futures’ Draw Warning From State Securities Regulators, Congressional Scrutiny Promises of ‘Guaranteed Returns’ Fuel Losses In The Hundreds Of Millions of Dollars High Commissions Entice Independent Insurance Agents to Sell Viatical Settlements
- Sec Partners with State of Hawaii to Charge Honolulu-Based Adviser with Defrauding Seniors
- Securities Commissioner Tung Chan Named to Leadership Role in the North American Securities Administrators Association
- Securities Industry and Regulators Launch Combined Investor Education Initiative
- Securities Regulators Unveil Fraud Awareness Quiz
- State Hosts Financial Literacy Fair at Tamarind Park
- State Investor Education Program Receives National Award
- STATE INVITES TEAMS TO SIGN UP FOR LIFESMARTS HAWAII COMPETITION
- State Orders De Poyo, Duff and Walker Business Group to Cease Sale of Unregistered Securities
- State Orders Former “Top Male Fittest CEO” to Cease and Desist
- State Orders Franchisor, Company To Cease and Desist
- State orders Joseph w. Sullivan, Daryn K. Murai and Chad S. Morisato to cease sale of unregistered securities
- State Orders Larry Goto dba Financial Management Services to Cease Sale of Unregistered Securities
- State Orders Local Securities Salesperson/Investment Advisor to Cease Sale of Securities in Hawaii
- State Orders Local Securities Salesperson/Investment Advisor to Cease Sale of Securities in Hawaii
- State Orders Oahu Man To Cease and Desist Fraudulent Sale of Unregistered Securities
- State Securities Commissioner Orders Colburn Kuwata And Related Businesses To Cease And Desist
- State Securities Commissioner Orders Halt of $2.2 Million Foreign Currency Ponzi Scheme
- State Securities Commissioner Orders Kaua`i Resident Leigh K. Matsuyoshi to Cease Sale of Unregistered Securities
- State Securities Commissioner Orders Louis Dean Parrish to Cease Sale of Unregistered Securities
- State Securities Commissioner Orders Maria P. Abello dba Teancum, Inc. to Cease Sale of Unregistered Securities
- Temporary Reduction in Securities and Franchise Filing Fees
- Temporary Reduction in Securities and Franchise Filing Fees
- Temporary Reduction in Securities and Franchise Filing Fees
- Top 13 Investor Traps for 2006
- Top Five Investments Investors Should Be Wary About
- TOP HIGH SCHOOL TEAMS TO COMPETE IN LIFESMARTS HAWAII STATE CHAMPIONSHIP
- War, Terror Fears Could Be Exploited by Con Artists, Securities Regulators Warn
Proposed Rule
Publications
- Affinity Fraud
- Checklist of Things to Listen For When Attending “Free Lunch” Seminars
- Common Threats to Hawaii Investors
- How Do I Check on My Securities Broker or Investment Adviser
- How to Spot a Con Artist
- Investigate Before You Invest
- Investor Bill of Rights
- Investor Protection – 10 Tips
- NASAA – Financial Crisis: Investor Tips For A Down Market
- NASAA – Madoff: A 21st Century Ponzi Scheme
- Office of the Securities Commissioner: Who We Are?
- Real-Life Stories of Mrs. Tanaka & Mr. Kealoha
Registration Forms
State
- A Real Hawaii Story on Investment Fraud
- A Victim’s Story: Financial Planner
- Affinity Fraud
- Ask Questions
- Checklist – Before You Invest
- Common Threats to Hawaii Investors
- Crowdfunding – Informed Investor Alert
- Crowdfunding – Small Business Advisory
- Exchange Traded Funds
- Financial Designations
- How to Protect Your Nest Egg
- How to Spot a Con Artist
- Investor Bill of Rights
- Investor Protection – 10 Tips
- Ponzi Schemes
- Social Networking
- Union Outreach
- Who Is Helping You Invest?