Best Nasaa Podcasts (2026)

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Trends, Traps, and Truth – The World of Finfluencers 37:30

Play Pause

2M ago37:30

37:30

Today we’re diving into the world of finfluencers – social media personalities who dish out financial advice – sometimes with risky consequences for investors. With expert guests John Eichkorn and Sammy Wu, we’ll explore how to spot misleading content, avoid investment scams, and find trustworthy sources for your financial decisions. If you’ve ever…

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NASAA 2025 Top Investor Threats 42:40

4M ago42:40

42:40

Scams involving cryptocurrency, social media apps, and marketing tactics designed to play on emotions made NASAA’s 2025 annual list of top investor threats. In today’s special episode of Real-Life Regulators, we are joined by Amanda Senn, Director of the Alabama Securities Commission, and she also serves as NASAA’s Enforcement Section Chair. She wi…

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The Schemery at the Creamery 28:04

5M ago28:04

28:04

From award-winning dairy to devastating deception. Trickling Springs Creamery, a beacon of East Coast goodness, hid a chilling secret. Philip Riehl, one of their own, used the sacred trust of his Amish and Mennonite community to build a multi-million dollar lie. He milked more than cows, draining the life savings of his Amish and Mennonite neighbor…

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The Lone Wolf 38:34

1+ y ago38:34

38:34

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 old…

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Hatching from the Egg to Creating Your Own Nest Egg – Part 3 42:25

1+ y ago42:25

42:25

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 an…

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Hatching from the Egg to Creating Your Own Nest Egg – Part 2 53:45

1+ y ago53:45

53:45

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 thi…

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Hatching from the Egg to Creating Your Own Nest Egg - Part 1 50:33

1+ y ago50:33

50:33

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 …

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Ontario Securities Commission Episode 39:43

1+ y ago39:43

39:43

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…

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Past NASAA President Interview Ray Rumsey (1993-1994) 6:50

2y ago6:50

6:50

By National Association of State Approving Agencies (NASAA)

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Past NASAA President Interview Don Sweeney (1985-1987) 23:31

2y ago23:31

23:31

By National Association of State Approving Agencies (NASAA)

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Silver Lined Lies 46:41

2+ y ago46:41

46:41

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 sprea…

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Failure to Launch 41:55

2+ y ago41:55

41:55

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 vi…

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Rotten Tomatoes (Part 2) 32:33

2+ y ago32:33

32:33

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…

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Rotten Tomatoes (Part 1) 40:10

2+ y ago40:10

40:10

Today’s podcast is part 1 of a 2-part episode called Rotten Tomatoes. Rotten Tomatoes details how a career conman stole over 2 million dollars in less than 6 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 t…

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Becoming the SAA 13:18

3y ago13:18

13:18

Cleo Wallace of the Louisiana State Approving Agency details his story of joining his state's organization.By National Association of State Approving Agencies (NASAA)

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Putting the Civilian Back Into Your Spouse 9:12

3y ago9:12

9:12

Cathy McGruder of the Mississippi State Approving Agency details her journey as the spouse of a servicemember who transitioned back into civilian life after a long military career.By National Association of State Approving Agencies (NASAA)

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The Next Frontier – A Virtual ‘Wild West’ in Nontraditional Investments 49:29

3+ y ago49:29

49:29

This episode concludes our special three-part series that explores the different “frontiers” of fraud – from the early days of investing and the origins of the Blue captiSky Law, to the “Wild, Wild West” of nontraditional investments within The Metaverse. Our guest is Joseph Rotunda, NASAA Enforcement Section Committee Vice-Chair and Texas State Se…

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Money! Money! Money! The Name Has Changed, but the Fraud Game is Still the Same 34:27

3+ y ago34:27

34:27

This episode is the second of our special three-part series that explores the different “frontiers” of fraud – from the early days of investing and the origins of the Blue Sky Law, to the “Wild, Wild West” of nontraditional investments within The Metaverse. Our guest is Lori J. Schock, Director of the Securities and Exchange Commission’s Office of …

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The ‘Wild West’ of Investing and Origins of the Blue Sky Law 35:07

3+ y ago35:07

35:07

Before there was digital currency, there was physical currency. Before there was physical currency, there was barter and trade. And if “necessity is the mother of invention,” then the necessity of exchanging currency for goods and services means there was an opportunity for the invention of fraud. Fast forward to today, and investment fraud has rem…

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The Salsa Swindler (Part 2) 30:26

3+ y ago30:26

30:26

Today’s episode is the concluding episode featuring the Salsa Swindler. If you have not listened to part 1 yet, we encourage you do so before listening to this episode. The Salsa Swindler is a career criminal who started a long-distance relationship with lady who had accumulated some nice savings. However, lies and deceit are the key to his salsa r…

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The Salsa Swindler (Part 1) 26:22

3+ y ago26:22

26:22

Today’s episode is part one of a two-part episode featuring the Salsa Swindler, a career criminal who started a long-distance relationship with lady who had accumulated some nice savings. However, lies and deceit are the key to his salsa recipe when he sets his eyes on her money to fund his alleged business. We talk to the investigators who worked …

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The Metaverse 31:23

3+ y ago31:23

31:23

This episode highlights the metaverse, with commentary from Joseph Rotunda, Vice Chair of the North American Securities Administrators Association’s Enforcement Section Committee, and Director of the Texas State Securities Board Enforcement Division. Rotunda will describe what the metaverse is, discuss the risks of investing in the unregulated meta…

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NASAA’s Senior Issues and Diminished Capacity Committee Presents: Financial Services Industry Experts Speak 1:29:56

3+ y ago1:29:56

1:29:56

Episode 18 features the latest episode of NASAA’s webcast series, NASAA’s Senior Issues and Diminished Capacity Committee Presents. It addresses the theme “Financial Services Industry Experts Speak.” In this recording, speakers from the financial services industry discuss how they work within their firms and with other stakeholders to mitigate vuln…

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A Long and Winding Road... 34:47

3+ y ago34:47

34:47

Frank Myers of the South Carolina State Approving Agency discusses the twists and turns of his military career and transition to working for the benefit of other veterans.By National Association of State Approving Agencies (NASAA)

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You Are Not Alone 11:40

3+ y ago11:40

11:40

A conversation with Dr. Joe Wescott, National Legislative Liaison of the National Association of State Approving AgenciesBy National Association of State Approving Agencies (NASAA)

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Resources 8:08

3+ y ago8:08

8:08

Troy Tissue of the Michigan State Approving Agency discusses the importance of veterans becoming familiar with and utilizing available resources available to themBy National Association of State Approving Agencies (NASAA)

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Taking a Step Back... 8:32

3+ y ago8:32

8:32

Annie Walker of the Virginia State Approving Agency speaks on her experience as someone who followed a non-traditional path into the military and about her transition back to civilian life.By National Association of State Approving Agencies (NASAA)

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Next 30:20

3+ y ago30:20

30:20

Mitch Curry, formerly of the Tennessee State Approving Agency, discusses his entry into the military and his own transition into working on behalf of military veterans.By National Association of State Approving Agencies (NASAA)

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There's Life After... 10:34

3+ y ago10:34

10:34

Olayta Rigsby of the Maryland State Approving Agency talks about the importance of preparing for life after a military career.By National Association of State Approving Agencies (NASAA)

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Trust the Process 5:28

3+ y ago5:28

5:28

Barry Goode of the Georgia State Approving Agency discusses his transition from active-duty military to veteran status.By National Association of State Approving Agencies (NASAA)

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Transitions 14:30

3+ y ago14:30

14:30

Former military "brat" Ruth Braxton of the Mississippi State Approving Agency discusses her reasons joining that agency.By National Association of State Approving Agencies (NASAA)

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Introducing "NASAA’s Senior Issues and Diminished Capacity Committee Presents" 1:13:53

4y ago1:13:53

1:13:53

Episode 17 features the launch of NASAA’s new webcast series, "NASAA’s Senior Issues and Diminished Capacity Committee Presents." This webcast series was developed by NASAA’s Senior Issues and Diminished Capacity Committee to provide an inclusive platform for learning from the best and brightest minds who will discuss issues that matter most to tho…

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2022 Top Investor Threats 28:02

4y ago28:02

28:02

16 focuses on NASAA’s 2022 Top Investor Threats. Joseph P. Borg, NASAA Co-Chair of the Enforcement Section Committee and Director of the Alabama Securities Commission, and Joseph Rotunda, NASAA Vice Chair of the Enforcement Section Committee and Director of the Texas State Securities Board Enforcement Division, will describe what these top threats …

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Investor Education 10:59

4y ago10:59

10:59

This episode highlights NASAA's investor education efforts, with commentary from Tom Cotter, Co-chair of NASAA’s Investor Education Section Committee and Alberta Securities Commission Vice-Chair; and Jillian Lazar, Co-chair of NASAA's Investor Education Section Committee and Director of Investor Protection with the Delaware Department of Justice.…

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2021 Regulation Best Interest Phase Two Report 19:01

4y ago19:01

19:01

Chair of NASAA’s Regulation Best Interest Implementation Committee and Ohio Securities Commissioner Andrea Seidt discusses notable findings from NASAA's 2021 Reg BI Phase Two Report. The report announces the results of a nationwide survey conducted by state securities regulators that provides the first comprehensive look at broker-dealer industry p…

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Trusted Contacts 11:15

4y ago11:15

11:15

NASAA Senior Issues and Diminished Capacity Committee Chair and Washington State Department of Financial Institutions’ Licensing and Examination Supervisor Kristen Standifer describes what a trusted contact is and how it can help protect investors from fraud. She also describes NASAA’s recent joint announcement with the SEC and FINRA on trusted con…

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NASAA President Melanie Senter Lubin Discusses NASAA’s Year Ahead 12:15

4y ago12:15

12:15

This episode profiles current NASAA President and Maryland Securities Commissioner Melanie Senter Lubin.By NASAA

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Don’t Get Taken to the Cleaners 35:46

4+ y ago35:46

35:46

Today's episode will focus on a Ponzi scheme case with many twists and turns involving a narcissist who will even pitch an investment idea to the prosecutors, fires his defense attorney during the trial, and asks for a life sentence, just to name a few. A Ponzi scheme is when you take a new investor's money to pay back previous investors. The maste…

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Model Whistleblower Award and Protection Act 18:01

4+ y ago18:01

18:01

This episode highlights the NASAA Model Whistleblower Award and Protection Act. Our conversation features Washington Chief of Registration & Regulatory Affairs Faith Anderson and Montana Deputy Securities Commissioner Lynne Egan.By NASAA

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Fake Talent Search Mastermind Leads to Broken Hearts Instead of Topping the Charts 1:05:07

4+ y ago1:05:07

1:05:07

Today’s episode mirrors a soap opera script. A charismatic bachelor who professes to have Hollywood connections lures multiple women from dating websites and promises them fame, money, and love and delivers on none. Romance scams occurs when a scammer uses the illusion of a romantic relationship to steal from the victim. Romance scams are some of t…

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A Wolf in Sheep's Clothing 45:06

4+ y ago45:06

45:06

After receiving a tip from adult protective services, the Securities Department at the Office of the Montana State Auditor began an investigation into a man allegedly using bank accounts of fellow church members as a personal piggy bank. When all was said and done, more than $2 million was unaccounted for. Thankfully, Montana securities regulators …

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Swindled by the Son She Never Had 58:20

5y ago58:20

58:20

The American dream is at the heart of this episode, which features the story of a young immigrant who comes to the United States and becomes a successful entrepreneur through her strong work ethic. Her retirement becomes anything but comfortable after she meets a wolf in sheep’s clothing. In this episode of Real Life Regulators, investigators and a…

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Investment Advisor Representative Continuing Education 13:03

5y ago13:03

13:03

This episode features a conversation with Michigan’s Examination and Licensing Manager Linda Cena about the IAR CE Model rule.By NASAA

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Regulation Best Interest Examination Report 21:44

5y ago21:44

21:44

This episode features a conversation with Ohio Securities Commissioner Andrea Seidt about the Regulation Best Interest Examination Report.By NASAA

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Presidential Fireside Chat 20:06

5+ y ago20:06

20:06

This episode features a conversation between the former NASAA President and Chief of Jersey Bureau of Securities Christopher Gerold and current President and Senior Deputy Commissioner of West Virginia Securities Commission Lisa Hopkins.By NASAA

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Women's Financial Independence 13:31

6y ago13:31

13:31

A conversation on Women’s History Month, the unique financial challenges facing women and how NASAA members are responding.By NASAA

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The Advisor and the Widow 14:14

6y ago14:14

14:14

Investigators and lawyers from the Connecticut Department of Banking’s Securities and Business Investment Division, discuss how an unscrupulous financial advisor took advantage of a widowed client and drained her investment account to pay down debt and spend on personal expenses, including limousines, expensive dinners and sporting events. Produced…