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Part of preparing for your and your family’s futures may involve investing. Like others who entrust their investments to brokers or brokerage firms, you may depend on your advisor to guide you and look out for your finances. If your broker defrauds you, costing you...
In theory, lucrative trading requires experience, knowledge, skill and some luck. Sometimes, though, traders have material and nonpublic information they use to gain an unfair advantage. If the Securities and Exchange Commission uncovers insider trading, of course,...
Didi Global Inc., the Chinese company that operates the ridesharing service Didi Chuxing, is in hot water with the Cyberspace Administration of China (CAC) as well as with investors. The company stands accused of illegally collecting the personal data of its users. It...
The Securities and Exchange Commission reached a settlement in the case of two South Florida men accused of securities and real estate fraud. The defendant in Fort Lauderdale federal court will pay millions of dollars in fines and restitution after diverting more than...
Federal securities laws generally do not require public companies to reveal all their material statements or financial information. As reported by Compliance Week, the U.S. Securities and Exchange Commission only requires disclosure of a material fact that a...
As you are likely aware of, a promissory note is essentially an “IOU” that a company gives you in return for your monetary investment. The company has X number of years to repay the loan, plus interest. Promissory notes can be viable investment strategies, until they...
If you know that your broker’s investment firm backs the advice and investment decisions of your broker, you naturally feel more confident about the actions of your broker. But in some situations, investors find out that their brokers are acting independently of their...
As someone who works as an investor, you probably understand the risks to your career if you fall under the accusation of violating securities laws or FINRA regulations. If you end up in this difficult situation, know that you can contest allegations of violating...
As an investor, you know you are taking some risks, but you expect your broker to play by the rules. If you need to take legal action against an individual or firm, court litigation is not the only option. Arbitration is an alternative method for dispute resolution....
When you work with a broker, you want his or her guidance on your investments, and you also want to authorize any transactions made on your behalf. But some brokers conduct transactions without the prior authorization of their clients. According to the U.S. Securities...