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On July 26, 2025, the New Hampshire Securities Commission announced that it had taken enforcement action against an unregistered broker-dealer operating in the state. The commission's investigation revealed that the firm had been offering and selling securities to New Hampshire residents without proper registration, in violation of state securities laws.The unregistered broker-dealer, whose name has not been disclosed, was found to have solicited investments from investors in New Hampshire through various means, including cold calling, mass emails, and social media advertisements. The commission determined that the firm had engaged in deceptive practices to lure investors into purchasing securities that were not registered with the state.In response to these findings, the New Hampshire Securities Commission issued a cease and desist order against the unregistered broker-dealer, prohibiting the firm from further soliciting investments in the state. The commission also imposed fines and penalties on the company for its unlawful activities.“This enforcement action underscores the importance of proper registration and compliance with state securities laws,” said Commissioner of the New Hampshire Securities Commission. “Investors must be cautious when approached by individuals or firms purporting to offer investment opportunities, and should always verify the registration status of any broker-dealer before making any investments.”The commission urged investors who had been solicited by the unregistered broker-dealer to come forward and report their experiences. It also reminded New Hampshire residents to be vigilant and conduct due diligence before investing in any securities, to avoid falling victim to fraudulent schemes.The New Hampshire Securities Commission's swift action against the unregistered broker-dealer serves as a warning to other firms operating in the state without proper registration. The commission will continue to monitor and enforce compliance with securities laws to protect investors and maintain the integrity of the financial markets in New Hampshire.