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Securities

Issue name: Securities
Applicable law/agency: Securities and Exchange Commission (SEC), National Association of Securities Dealers

Related topics: Annuities, Breach of Fiduciary Duty, Churning, Edward Jones, Failure to Hedge, Failure to Supervise, Improper Use of Margin, Misrepresentation/Omissions, Overconcentration/Failure to Diversify, Retirement Plans, Securities Unsuitability, Selling Away, Stock Market Losses, Theft, Unauthorized Trading

 

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Securities

 

There are many types of securities misconduct, which may require individuals or companies to seek legal action or arbitration. Common claims include failure to hedge, theft, churning, unauthorized trading and selling away.  Such misconduct can cost investors their savings, investments or retirement accounts. The Security and Exchange Commission (SEC) and the National Association of Security Dealers (NASD) regulate the securities industry. One of the tasks of the SEC is ensuring all investors have access to certain information about public companies. The SEC also brings civil action against companies or individuals found to participate in insider trading, accounting fraud or other misconduct. NASD works to protect investors through self-regulation of the securities industry. The NASD can impose sanctions against members who participate in misconduct.

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Investors Should be Wary of High-Pressure Sales Calls

(NASAA) issued a Consumer Alert in January 2006 about high-pressure sales calls (sometimes referred to as cold calling) by stockbrokers. Every securities firm must keep a “do not call” list and consumers must be added to the list upon their request. Dishonest brokers use cold calling to find “quick hits.” Some set up “boiler rooms” where high-pressure salespeople use banks of telephones to call as many potential investors as possible. read more

Senior Investor Fraud on the Rise - "Senior Specialists"

In December 2005, the Department of Financial Institutions - Securities Division issued a Consumer Alert that cautioned senior citizens to carefully check the credentials of individuals holding themselves out as "senior specialists" and who offer planning or financial services. The alert stated that individuals may call themselves "senior specialists" to create a false level of comfort among seniors by implying a certain level of training on issues important to seniors. In 2005, the North American Securities Administrators Association (NASAA) observed a significant increase in designations claiming to provide the holder with expertise in providing services to investors 55 years and older. read more

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Securities Jury Verdicts

______ Defense verdict - Discrimination Sex Discrimination - Employment - Hiring - Defense Verdict - Employment

______ $1,590 - False Arrest False Arrest - Shopping Mall - Suspicious Money Exchange - Civil Rights

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Securities Videos

Legal Questions about Brokerage Firms

Securities Lawsuits

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Securities Legal Encyclopedia Entries

Human rights

Social Security

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Securities Government Articles

Investment Recovery Steps

FINANCIAL PLANNER ARRAIGNED FOR SECURITIES FRAUD AND LARCENY

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Securities News Articles

Fannie Mae to Pay $400 Million Penalty for Accounting Fraud

NASD Fines Merrill Lynch $5 Million for Call Center Supervisory Failures, Sales Contest Violations

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Securities Newsfeeds

Credit crisis 'here to stay,' say top bankers

Writers Guild Leaders Unveil Tentative Labor Contract (Update3)

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Securities Useful Web Sites

Understanding Bond Rate Risks

Retirement Calculator

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Securities Wikipedia

Security (finance)

U.S. Securities and Exchange Commission

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