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Unauthorized Trading (Of Securities) – And What To Do if You’re a Victim

Some investors like to take a hands-off approach to investing and leave the decision-making to their brokers or investment advisers. Others want to be advised about every transaction in their account and daily updates about the status of their portfolios. Whatever the case, brokers and financial advisors must adhere to their clients’ wishes. In most

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Courts Continue Some Operations during Coronavirus Slow Down

Throughout the United States the country is experiencing a severe economic slow-down as only recently have cities and states begun to relax their stay at home orders in response to the Covid 19 pandemic.  One of the institutions greatly affected by the social distancing regulations is the court system.  The safety procedures ordered in place

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COVID-19 Scams

Crises provide fertile grounds for scam artists to defraud the public. The coronavirus serves as an ideal opportunity for con artists to flourish. Law enforcement sources are reporting the existence of all manner of consume fraud schemes. There are no such things as door to door coronavirus tests. Some confidence artists are moving through neighborhoods

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How Securities and Exchange Commission Periodic Filings May Lead to Fraud Charges

The Securities and Exchange Commission requires three quarterly filing and an annual filing by most publicly traded companies.  These filings, known as a “10-Q” for a quarterly filing and a “10-K” for an annual filing, contain information about both the business aspects of the reporting company and its financial position.  In fact, the annual filing

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Ponzi Scheme

A ponzi scheme is an investment fraud in which the longer-term investors receive payments from the contributions of recent investors. In a typical ponzi scheme the promoter will advertise investment returns that are literally to good to be true.  Such promised or guaranteed returns may be a 50% to 100% return in a matter of

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