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Unauthorized trading is one kind of investment misconduct by a financial advisor or broker in which they execute investment transactions on behalf of a client using the customer’s money, but without their written permission or in violation of the customer’s investment...
When a publicly-traded company advertises itself as having ethical principles and strong internal fraud controls, do those statements affect share prices? If they do, should shareholders who relied on the statements have access to class-action lawsuits? The question...
Robinhood is a relatively simple trading app that made it possible for investors to buy stocks on their phones. This was something many small-time investors used when just getting started or when looking for flexible ways to make trades on their schedule. While the...
Fiduciaries are people or organizations that act on behalf of others in positions that require honesty, trust and loyalty. They are ethically and legally bound to put their clients’ interests in front of their own. Their roles and duties often relate to managing a...
A fiduciary is a person who acts in the best interests of others, performing a duty of trust and good faith. Fiduciaries are legally and ethically bound to put their clients’ best interests ahead of their own. Their duties may be to provide for others’ well-being and...
Investment is naturally rife with risk, but risk and fraud are not the same. We often advise investors regarding the difference. Many investors do not even think about potential misconduct until it is too late. Of course, the market naturally fluctuates, so losing...
While Ponzi schemes have been around for decades, they may still be hard for you to recognize before you lose money. With a high percentage of financial investment transactions occurring over the internet, it may be even more challenging to recognize a fraudulent...
Coronavirus is affecting more than just Americans' health. People with money in the stock market may also be seeing lower returns. This can cause some investors to panic. During these tough times, many turn to their financial advisers to make sensible money moves....
In the U.S., there are around 4,200 brokerages and almost 634,000 brokers. They require regulation, and the Financial Industry Regulatory Authority provides this. FINRA is an organization that creates rules to control brokerages and brokers. As the enforcer for the...
Many people may use their investments to help provide for their family's future. When stockbrokers are not honest, people may experience financial losses. It is important for people to recognize different types of securities fraud so they can protect themselves and...
