Scams

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Top 10 Types of Investment Scams (Infographic)

It is important that you are aware of the 10 most frequent investment scams that are perpetrated on the public by licensed and unlicensed individuals. […]

By |March 23rd, 2015|Categories: Scams|Tags: , , , , , |2 Comments

The Great American Financial Plan Scam

Articles and advertisements often tout the merits of financial plans. From the viewpoints of a financial advisor, they are an easy $500 or more. From […]

A Penny for Your Penny Stocks

The Financial Industry Regulatory Authority (FINRA) recently fined a Minneapolis broker-dealer $1 million for not properly supervising its large penny stock business. The action charges that […]

By |September 25th, 2014|Categories: Scams|Tags: , , , , , , , , |0 Comments

Come Selling Away, Come Selling Away with Me

Selling away occurs when a broker invests a client’s money without going through the brokerage firm that he is employed with. It is one of […]

3 Stock Brokers Accused of Securities Misconduct by Customers

Rockwell Global Capital LLC (Rockwell)  stock brokers Robert E. Lee Jr., Douglas Guarino, and Lawrence Lee have been the subject of at least 29 combined […]

Shiny SilverStar Analytics “Super Special Advisor”

Shiny SilverStar Analytics is a fictitious example of real-world Wall Street Marketing devised in an effort to mislead and confuse the investing public and consumer of financial services.