Posts in Investor Information

Nov 02 Financial Fraud is on the Rise According to Officials, Scamming Billions of Dollars from Investors

It’s been nearly a decade since the $65 billion Ponzi scheme orchestrated by Bernard Madoff, and while there was a temporary dip ...

Oct 01 FINRA Issues Investor Alert About Fraud After Hurricane Florence

The Financial Industry Regulatory Authority (FINRA) issued a warning to investors about potential investment scams that promise ...

Sep 18 SEC Investor Alert: The Risks of Investing in Marijuana-Related Companies

The Securities and Exchange Commission’s (SEC) Office of Investor Education and Advocacy (OIEA) consistently hears complaints ...

Sep 13 States Are Stepping Up with Fiduciary Rules of Their Own

With political battles aimed at dismantling federal fiduciary rules that govern broker-dealer advice to investors, some states are ...

Sep 11 Are the Sales of Private Placements an Indication of Brokers Gone Bad?

The rise in sales of private stakes in companies is raising concerns among regulators and investors about investment fraud. The ...

Aug 31 SEC Charges Transamerica Entities $97 Million Over Faulty Investment Models

The Securities and Exchange Commission (SEC) announced that it charged four Transamerica entities $97.6 million for its misconduct ...