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SEC and FINRA Issue Warnings about Broker and Investment Advisor Imposter Scams

October 22, 2021 Blog

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 […]

FINRA is Investigating Unnamed Special Purpose Acquisition Companies (SPACs) and Their Affiliates

October 20, 2021 Blog

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 […]