When you put your trust and faith in an investment company, investment banking firm, or other private broker to handle your money and investments, you expect a high standard of quality and competence on their part to fulfill the services you require of them. Securities fraud enters the picture when the professionals you trust to handle your stocks, bonds, mutual funds, etc., and illegally profit from your investments.
The Securities Exchange Commission (SEC) regulates all securities activity and investigates any wrongdoing or felonious activity in the stock market. When the SEC takes notice of illegal activity, they file suit in federal...
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It has been said that investing is not a spectators sport. That is obvious to anyone that has ever invested in securities. Investing in securities is a captivating and multifaceted world on to itself and it can be an extremely profitable and gratifying way to play the market as you assert a better future for you and your family. This is a financial extreme sport not for the faint of heart. The normal ups and downs of the investment market are more than enough to keep you biting your nails down to their root. You certainly don’t need help from unscrupulous stock brokers or investment managers.