Filing a Complaint With the SEC

The Securities and Exchange Commission or SEC oversees the securities industry in the US.

Here’s a list of sources of fraud related to securities:

Ponzi and pyramid schemes in which funds collected from one investor are paid to another investor with no actual investment.

Theft or misappropriation of funds in which employees take money from the company.

Stock price manipulation in which one’s activities increase or decrease the price to the gain of the manipulator.

Insider trading in which those with inside information make gains through stock trades.

Bribery in which employees pay bribes to others to accomplish their goals.

Fraudulent conduct associated with securities.

Report these to the SEC through their website or hotline.

There are whistleblower protections for those who provide information to the SEC.

Remember, there’s no such thing as a guaranteed investment.

 

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Disclaimer:
Hall T Martin is the director of Investor Connect, which is a 501(c)(3) nonprofit dedicated to the education of investors for early-stage funding. All opinions expressed by Hall and podcast guests are solely their own opinions and do not reflect the opinion of Investor Connect. This podcast is for informational purposes only and should not be relied upon for the basis of investment decisions.