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By Melanie Waddell, AdvisorOne |
May 6, 2013
The SEC is warning investors that working with an advisor doesn’t guarantee they won’t be scammed in private oil and gas offerings.
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By Melanie Waddell, AdvisorOne |
October 3, 2012
The SEC charged one manager with stealing more than $500,000 from a retired schoolteacher who thought she was investing her retirement savings in a hedge fund.
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By Melanie Waddell, AdvisorOne |
September 26, 2012
Fraudsters who carry out affinity scams frequently are (or pretend to be) members of the group they are trying to defraud.
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By Melanie Waddell, AdvisorOne |
August 30, 2012
Retail investors—particularly minorities and the elderly—fail to understand concepts such as compound interest, inflation or the differences between stocks and bonds, according to a just-released study by the SEC and the Library of Congress.
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By Melanie Waddell, AdvisorOne |
May 4, 2012
The SEC’s Office of Investor Education and Advocacy issued an Investor Bulletin to provide seniors who use social media with safety tips to help them avoid investment fraud.
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By Melanie Waddell, AdvisorOne |
March 19, 2012
Citing a lack of due diligence by broker-dealers, the SEC on Monday issued a Risk Alert on compliance measures to help BDs fulfill their due-diligence duties when underwriting offerings of municipal securities.
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By Melanie Waddell, AdvisorOne |
November 3, 2011
The SEC's study on financial literacy will help SEC in rulemaking on point of sale disclosures of an investment product or service, Rominger says
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By Melanie Waddell, AdvisorOne |
September 23, 2011
The SEC’s Office of Investor Education and Advocacy and NASAA issued an Investor Alert warning investors of the potential risks associated with investing through self-directed IRAs.