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One of the first rules of investing for individual investors is to make sure you give your money to someone you trust. Boiler rooms are making a comeback, and unsolicited calls and emails from supposed investment brokers are classic signs of a fraudulent investment scam. But, what if you hear […]
If you have suffered losses in your brokerage account due to broker fraud, the primary way to recover your losses is by filing for securities arbitration with the Financial Industry Regulatory Authority (FINRA). Federal regulations require all registered brokers to arbitrate disputes with their clients through FINRA, and FINRA arbitration […]
Oil and gas investment scams continue to pose a significant risk for individual investors. These scams, which often target elderly investors and individuals with little experience investing (and usually no experience investing in speculative oil and gas ventures), are commonly designed to lure investors into building their investments gradually. Then, […]
If you have suffered sudden and unexpected losses in your brokerage account, it is worth investigating whether your losses may be the result of investment fraud. Investment fraud is far more common than most investors would like to believe, and each year numerous investors recover their fraudulent losses through arbitration […]
An unfortunate reality of being an individual investor is that you must constantly be aware of the risk of fraud. While many fraud schemes target specific groups such as inexperienced or elderly investors, cases like the Bernie Madoff scandal show that even sophisticated investors can fall victim to complicated scams […]
When seeking to recover fraudulent investment losses from a broker or brokerage firm, the primary method for doing so is filing an arbitration claim with the Financial Industry Regulatory Authority (FINRA). However, there is also another option which, under the right circumstances, can help further streamline the process of recovering […]
In August, we announced that we were investigating 13 investment management firms that had been penalized by the Securities and Exchange Commission (SEC) for publishing false and misleading advertising. We followed that announcement in October with an update further discussing the firms’ penalized activities. Now, the SEC has announced charges […]
“In investing . . . prevention is half the game.” This advice comes from author and Forbes contributor John Wasik in his recent article, How To Avoid The Top Money Scams. The investment market for individual investors has long been plagued by fraud. From the early days of Ponzi schemes […]
Each year, the Securities and Exchange Commission (SEC) publishes a list of its “most significant” enforcement actions targeting various forms of investment fraud. The SEC recently released its list for fiscal year 2016: 1. Hedge Fund Manager Charged With Insider Trading In September, the SEC charged Leon G. Cooperman and […]
Earlier this fall, the Securities and Exchange Commission (SEC) announced new reporting and disclosure rules designed to help protect individual investors against fraudulent practices involving mutual funds and exchange-traded funds (ETFs). According to a press release announcing the decision to adopt the new rules: “The new rules will enhance the […]