SEC Issues Investor Alerts

By: Rebecca H. Forest

Have you, a family member, a client or a friend ever been approached to make an investment where you were not sure if the person soliciting you to invest was trustworthy? If so, you are not alone. In fact, in response to the increase in fraudulent investment schemes, the SEC has issued two investor alerts within the space of two weeks during June. These investor alerts, and other information available from the SEC and FINRA (the Financial Industry Regulatory Authority) provide guidance to help you avoid investing in fraudulent investment scams through unscrupulous individuals. read more