Skip to Content
As an individual investor, you know that you should only invest money you can afford to lose, and you know you should diversify your portfolio. But, it is what you don’t know that can hurt you. Too often, investors think they are making informed decisions when in reality they are […]
As an individual investor, you may ask your broker to make certain trades for you. But, you will also rely on your broker’s advice in many cases. Good brokers will recommend trades that they believe serve their clients’ investment objectives; and, when clients accept their recommendations, they will earn a […]
As an individual investor, the ability to make informed decisions is critical to managing your portfolio effectively and minimizing your risk of loss. If you work with a stockbroker or investment advisor, you rely on your broker or advisor to provide trustworthy information that you can use to guide your […]
The Black Friday stock rout that resulted in a 900 point drop in the Dow Jones Industrial Average has exposed investors on margin. Investors with large margin balances likely received “margin calls” as their stocks plummeted quickly and steeply. While margin borrowing in a rising market tends to increase returns, […]
What Do Investors Need to Know about the Anti-Bribery Provisions of the FCPA? The Foreign Corrupt Practices Act (FCPA) is a federal law that is designed to prevent companies and their personnel from engaging in corrupt practices when doing business with foreign companies and government entities. Key among the FCPA’s […]
As an investor, you need to make informed decisions. This applies to the decisions you make about the securities you buy and your decisions about hiring an investment broker. Unfortunately, broker fraud is a very real concern, and each year numerous investors are forced to take legal action to recoup […]
On October 5, 2021, the U.S. Securities and Exchange Commission (SEC) charged CanaFarma Hemp Products Corp. (“CanaFarma”) and its co-founders with fraudulently raising approximately $15 million from investors. The SEC also alleges that the company and its co-founders “misappropriate[ed] a significant portion of the investor funds for personal use and […]
World Investor Week is “a global campaign to raise awareness about the importance of investor education and protection.” This year, it took place from October 4 through 10. The U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) both published online resources for World Investor Week […]
The U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) have both recently issued warnings about broker and investment advisor imposter scams. These scams involve individuals falsely representing themselves as registered brokers and advisors—often by assuming the identity of a legitimate registered investment professional. For individuals […]
The Financial Industry Regulatory Authority (FINRA) recently announced that it is investigating unnamed special purpose acquisition companies (SPACs) and their affiliates for possible securities law violations. In order to do so, the self-regulatory organization is requesting records from brokerage firms that may have offered investments in the subject SPACs to […]