Αποτελέσματα Αναζήτησης
11 Μαρ 2024 · Be alert to red flags of fraud. Guarantees, unregistered products, overly consistent or high returns, complex strategies, missing documentation, account discrepancies, secrecy and pushy salespeople are all cause for concern. Practice spotting persuasion tactics that scammers use, and always exercise healthy skepticism.
11 Ιουν 2014 · Anyone registered to sell securities or provide investment advice generally must disclose certain customer complaints, lawsuits and arbitrations, regulatory actions, employment terminations, bankruptcy filings, and certain other criminal or civil legal proceedings.
11 Ιαν 2024 · Complaints describe bad actors, posing as registered investment advisers, who advertise “stock investment groups” on Instagram and other social media channels and then turn to encrypted group chats on WhatsApp to communicate with interested investors and pitch investments.
In many cases, SEC investigation reveals that the soliciting entities are not registered in the United States as they claim or imply. In an effort to warn the public about these entities, the SEC is publishing information it has learned in reviewing these complaints.
14 Δεκ 2020 · Fraudsters use times of uncertainty and change, such as the current COVID-19 pandemic, to lure victims into investment scams. Below are tips to help you recognize and avoid frauds like Ponzi schemes, fake CD scams, bogus stock promotions, and community-based financial scams.
8 Απρ 2016 · Here’s some of what they found: Among brokers employed from 2005 to 2015, 7.28 percent had at least one disclosure in their industry records for a settled consumer complaint or worse. Many ...
9 Οκτ 2019 · According to the SEC’s complaint, the so-called “brokers” and “financial advisors” created this “urgency” by telling investors about supposed imminent market events that created profitable trading opportunities but only if the investor acted immediately.
