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We seek to provide information, insights and direction that may enable the Financial Community to effectively and efficiently operate in a regulatory risk-free environment by curating content from all over the web.


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Investor Protection

A Couple Cheated Out of Its First Private Investment

April 9, 2020

Investor Protection

When a Son Shouldn’t Give Orders for His Father

April 8, 2020

Investments - Unsuitable

Farmer Left ‘Out in the Cold’ by Excessive Margin Trading

April 7, 2020

Investor Protection

An Illegal Loan to Your Broker – A ‘Feel Good‘ Story

April 6, 2020

Investments - Unsuitable

Virtually Bankrupt, An Elderly Investor Trades Options on Advice from Broker

April 3, 2020

Investments - Unsuitable

Retired Investor Gets Trolled by His Broker

April 2, 2020

Investments - Strategies

Lessons from an Agreed-Upon Investment Strategy Gone Bad

April 1, 2020

Investor Protection

NYLife Broker Forged One Too Many Customer Signatures

January 7, 2020

Investments - Private

A Broker’s Personal Email ……. Out of Your Mind

January 6, 2020

Investor Protection

A $1.6 Million Inheritance: Two Sides of the Coin

January 5, 2020


Consolidated Reports – Your Financial New Worth on a Single Page

January 3, 2020


The Betting Line – ‘Zero Pay Off’ On a Sports Betting Scam

January 2, 2020


Medicare Identity Theft

December 31, 2019

Investments - Strategies

Beware of ‘Zombie ETFs’

December 30, 2019

Investments - Strategies

Investing with Borrowed Funds: Less ‘Margin’ for Error

December 20, 2019

Investor Protection

Risky Business: Borrowing from Customers

December 19, 2019

Investments - Unsuitable

The Gambler and Undue Concentrations

December 18, 2019


All That’s Goldman Does Not Glitter

December 17, 2019

Investor Protection

It's Christmas: What Not to Give Your Broker

December 13, 2019

Investor Protection

Raymond James Clients With Inactive Advisory Accounts

December 11, 2019

Bad Advisors

Ex-NFL Players Get Scammed by Trusted Lawyer and Adviser

December 10, 2019


Friends in High Places Don’t Protect Insider Traders

December 10, 2019


Affinity Fraud Hits Haitian Community

December 5, 2019


Affinity Fraud: What it is and How to Avoid Getting Scammed

December 4, 2019

Investor Protection

Beware: Spoofed Websites Offering Phony CDs

December 3, 2019

Investor Protection

Was Broker Done-In By Negligence and a Customer's ‘Bait and Switch’ Tactics?

December 2, 2019

Investments - Strategies

New Trend to Investing: Concentrate Your Bets, Shun Diversification

November 26, 2019

Bad Brokers

Customer at Risk By Her Broker’s Cover-Ups

November 25, 2019

Investor Protection

Customer Imposter Hit Up UBS Account for $367,000

November 22, 2019

Investor Protection

Broker Used Customer’s Checks to Pay His Own Expenses

November 20, 2019

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