Ten Red Flags of Investment Fraud We’ve updated our list of ten red flags that investors should be aware of: danger signs that point to potential mismanagement of an account or investment fraud by a financial advisor. These red flags are useful as you evaluate your own investments, review the investments of an elderly relative,…
Continue reading ›On February 5, 2018, a new FINRA rule geared towards preventing financial exploitation of seniors – also called elder financial abuse – goes into effect. This is new Rule 2165, which creates a limited safe harbor for brokers to put a temporary hold on certain disbursement requests from a brokerage account. The rule “permits members…
Continue reading ›FINRA recently released an Investor Alert on cryptocurrency scams. Investors should be wary of jumping into this “hot,” volatile sector, and do their research before handing over their money to a potential fraudster, or for a risky investment that they don’t understand. In the last quarter, cryptocurrencies such as Bitcoin and Ripple have received a…
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