Investigative and enforcement records, 2005-2007.

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Investigative and enforcement records, 2005-2007.

http://www.worldcat.org/oclc/760001625

Series documents the investigation of public or private firms, agents, or persons and any subsequent enforcement of violations of the Uniform Securities Act for landmark or policy-setting cases. Files currently document investigations involving the Catholic Cemetery Association of the Archdiocese of Boston; Investors Capital Corporation/Investors Capital Holdings and allied companies; and Goldman Sachs, undertaken during the tenure of state secretary William Francis Galvin.

12.5 cubic ft. (10 record center cartons)

Commonwealth of Massachusetts State Archives

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SNAC Resource ID: 8148298

Commonwealth of Massachusetts State Archives

Related Entities

There are 3 Entities related to this resource.

Massachusetts. Secretary of State (1995- : Galvin)

http://n2t.net/ark:/99166/w60687zc (corporateBody)

Galvin, William Francis

http://n2t.net/ark:/99166/w60c5rrg (person)

Massachusetts Securities Division.

http://n2t.net/ark:/99166/w6548mc5 (corporateBody)

The Secretary of the Commonwealth of Massachusetts is responsible, through the Securities Division, for regulating activities of persons and companies in the securities business in accordance with the Massachusetts Uniform Securities Act (MGLA c 110A) and regulations promulgated thereunder. The Securities Division adopts and periodically updates regulations to ensure that investors are adequately protected and that unreasonable burdens on legitimate capital raising activities are av...