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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

Crimes

Friends in High Places Don’t Protect Insider Traders

December 10, 2019

Crimes

Affinity Fraud Hits Haitian Community

December 5, 2019

Crimes

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

Investor Protection

Broker Suspended 9 Months for Trying to Protect Customers

November 18, 2019

Investments - Strategies

Not Every Investment is a Winner

November 15, 2019

Investor Protection

Robinhood Employee Steals From a Customer

November 13, 2019

Bad Brokers

Broker Fabricated Statements Used to Secure $3.2Mn in Bank Loans

November 12, 2019

Investments - Unsuitable

Non-Traditional ETFs: A Firefighter Gets Hosed

November 11, 2019

Investor Protection

My Broker Only Did Me a Favor - Why Was He Suspended?

November 6, 2019

Investments - Private

No Contest - Elderly Customers Lose Everything in Broker's Investment Scam

November 5, 2019

Investor Protection

Morgan Stanley Won’t Always Have Your Back

November 4, 2019

Technology/Internet

Spam Email: ‘Confirmed: A Legitimate Opportunity to Make Good Money’

November 1, 2019

Investor Protection

Anonymous Tip Saves a Senior Investor

October 31, 2019

Investor Protection

Merrill Lynch, Raymond James Overcharged ‘College Plan’ Investors

October 30, 2019

Investments - Strategies

Turning a Small Loss into a Bigger Loss

October 29, 2019

Boiler Rooms

‘YouTube or Netflix for Kids’ - Promoting with Cold Calls

October 29, 2019

Bad Brokers

Customers Unaware as Broker Churned Their Accounts

October 25, 2019

Investments - Private

Investing in Private Securities Transactions

October 24, 2019

Investor Protection

How Best to File a Customer Complaint

October 23, 2019

Crimes

This ‘Cashback Membership’ Was a Ponzi Fraud

October 22, 2019

Investments - Strategies

It’s Best to Avoid Thinly-Traded Stocks

October 21, 2019

Crimes

We’re in the Golden Age of Scamming

October 11, 2019

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