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Resources for Individual Investors Who Have Concerns about Securities Fraud

October 16, 2020 Blog

As an individual investor, you cannot be too careful when it comes to making decisions about how to invest your hard-earned funds. The risk of losing money to investment scams and other fraudulent practices is a very real concern, and even highly-experienced investors can (and do) lose substantial sums to investment fraud.

5 SEC and FINRA Resources for Individuals Who Have Concerns about Their Investments, Brokers and Advisors

As securities fraud attorneys, we speak with individual investors who have suffered fraudulent investment losses on a daily basis. While we are relentless advocates for our clients, we are equally passionate about helping investors make informed decisions and avoid fraudulent losses.

To this end, here are five resources we encourage you to utilize if you have questions about an investment opportunity or concerns about possible securities fraud:

1. Trading Suspensions

The U.S. Securities and Exchange Commission (SEC) maintains an up-to-date list of trading suspensions. As its website explains, “The federal securities laws allow the SEC to suspend trading in any stock for up to ten trading days when the SEC determines that a trading suspension is required in the public interest and for the protection of investors.” Reasons why the SEC may suspend trading of a public securities offering include (but are not limited to):

  • Failure to make public filings as required by federal law
  • Questions about the accuracy of information contained in public filings
  • Concerns about market manipulation and other fraudulent practices

2. Delinquent Filings  

The SEC also maintains an up-to-date list of publicly-traded companies that are behind on their filing requirements. While a delinquent filing is not necessarily indicative of fraud, as an investor, it is important to know whether the company in which you are investing is in full compliance with federal law.

3. Litigation and Press Releases

The SEC issues litigation releases when it pursues charges against companies, firms and individuals suspected of investment fraud. Individual investors can search the SEC’s litigation releases for the names of specific companies, firms, brokers and others, and they can review the SEC’s litigation releases to learn about the specific allegations involved.

4. Press Releases

The SEC also issues press releases when it pursues (and resolves) cases that either involve high-profile defendants or that involve issues that are particularly noteworthy for individual investors. Recent SEC press releases have highlighted cases involving issues ranging from fraudulent initial coin offerings (ICOs) to COVID-19 investment fraud scams.

5. FINRA BrokerCheck

Prior to investing with a broker or brokerage firm, it is always a good idea to run the broker’s or firm’s name through BrokerCheck. This database, maintained by the Financial Industry Regulatory Authority (FINRA), provides information about brokers’ and brokerage firms’ registrations, complaints and disciplinary proceedings.

Have You Suffered Fraudulent Investment Losses? Schedule a Free Consultation Now

If it is too late for you to use these resources to avoid falling victim to investment fraud, you may be able to recover your fraudulent losses with the help of an experienced securities fraud attorney. To speak with an attorney at Zamansky, LLC in confidence, call 212-742-1414 or request a free consultation online now.

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