Tag Archives: SEC
What is FINRA?
With so many regulatory bodies, it can be easy to become confused about which organization is responsible for which tasks. FINRA, the Financial Industry Regulatory Authority, formerly the National Association of Securities Dealers, is one of those regulatory bodies. What does FINRA do, and how does it compare to the Securities and Exchange Commission?… Read More »
The Face of a Fraudster: How to Recognize a Fraudulent Investment Salesperson
Famous stories of investment fraud tend to start with the same thing: a suave, successful con man with a great plan, a Bernie Madoff type, or a Jordan Belfort. But is that really what investment fraudsters look like? Knowing what a fraudulent investment salesperson may look or act like is the first step in… Read More »
