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While brokers are supposed to make their money by recommending sound investments, some brokers choose to earn a living by making trades that generate fees and commissions without serving the best interests of their clients. The Securities and Exchange Commission (SEC) has warned of these fraudulent practices previously, and it […]
Each year, the Financial Industry Regulatory Authority (FINRA) surveys U.S. investors with non-retirement portfolios and publishes the results of the survey in a report called, “Investors in the United States.” It recently released the results of its survey for 2016. Here are some of the highlights: More than 50 Percent […]
It’s a new year, but individual investors continue to face many of the same risks when it comes to broker fraud, unsuitable investment advice and fraudulent investment scams. If you are planning to invest in 2017, the Securities and Exchange Commission (SEC) has 10 tips for, “mak[ing] better informed investment […]
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 […]