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How Can You Learn About Investment Fraud Investigations?

June 30, 2023 Blog

If you invest, there is a risk that you will fall victim to fraud. Investment fraud is pervasive, and fraudulent schemes can take many different forms. Whether you invest on your own, with a broker or investment advisor, or through a retirement plan, it is important to be aware of the risks involved—and to know when you need to take action to protect your portfolio.

As an investor, there are several ways that you can learn about investment fraud investigations. If you have concerns about fraud, you should not ignore them. You should do your due diligence, and if you think you may need to take action, you should speak with a lawyer promptly.

5 Ways to Learn About an Investment Fraud Investigation

So, how can you find out if your broker, advisor, plan manager, or a company in which you have invested is under investigation? Here are five options:

1. The SEC’s Information for Harmed Investors

The U.S. Securities and Exchange Commission (SEC) maintains a list of pending enforcement actions on its website. If you visit the SEC’s Information for Harmed Investors, you can search an alphabetical list of companies, firms, and individuals that are facing SEC scrutiny. This page also includes information about how to search for class actions that you may be able to join.

2. SEC Press Releases

The SEC also regularly publishes press releases announcing securities fraud investigations and charges. The SEC’s press releases are listed by date, so you can easily find information about the Commission’s most recent enforcement actions.

3. SEC Litigation Releases

While the SEC issues press releases regarding its most high-profile investment fraud investigations, it does not issue press releases for all cases. When the SEC files a complaint as the result of an investigation, it posts a litigation release on its website.  

4. FINRA BrokerCheck

If you have concerns about broker fraud, you can find out if your broker or brokerage firm is under investigation through the Financial Industry Regulatory Authority (FINRA) website. FINRA’s BrokerCheck tool provides investors with access to real-time information about investigations and enforcement proceedings pending against their brokers and brokerage firms.

5. An Investment Fraud Attorney

Along with the SEC and FINRA, securities law firms also investigate cases of suspected investment fraud. If you have concerns and you can’t find any relevant information on the SEC’s or FINRA’s website, it is still well worth speaking with an attorney. Your attorney may be aware of a pending investigation that isn’t on the SEC’s or FINRA’s radar, and if not, your attorney can initiate an investigation to determine if you have a claim for fraud.

Speak with an Investment Fraud Attorney at Zamansky LLC

If you have concerns about investment fraud, we strongly encourage you to contact us for more information. Taking action promptly could be critical for protecting your ability to recover. To speak with an attorney at Zamansky LLC in confidence as soon as possible, please call 212-742-1414 or tell us how we can reach you online now.

Client Reviews

“Jake Zamasky and his colleagues represented me in a FINRA arbitration case against a large multinational bank and succeeded in obtaining an award for the full amount of my investment losses. I would highly recommend the Zamansky firm for their experience in securities litigation, their level of detailed research and case preparation, and their ability to effectively fight for what’s right.”

Richard R.

“Throughout my entire case, Jake Zamansky was incredibly responsive and spent time walking me through each step of the process. He is professional and worked with my challenging schedule, even meeting with me nights and on weekends. He knew exactly which turn to take when it came to my case and yet was respectful of any decisions I wanted to make resulting in a positive outcome.”

Donald A.

“Jake Zamansky and his firm represented me in a FINRA arbitration case to recover investment losses. Jake and his team were very professional and worked very hard preparing for trial and then reaching a substantial settlement of our case. I would highly recommend them.”

William E.

“Jake Zamansky represented me in a FINRA arbitration case which allowed me to recover a substantial portion of investment losses. He is truly an expert in this space and I would highly recommend him to those investors who may have been been a victim of investment fraud.”

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“Jake and his team did a great job communicating with me throughout the process of my lawsuit. I would recommend him to anyone looking to sue UBS for unethical practices.”

Mike A.
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