Yield-starved investors cautioned to beware of risky or fraudulent investments promising higher yields
Initiative provides investment advisors registering in multiple states with an easier way to navigate the switch to state registration
Requests to submit personal account information and money are red flags of investment fraud
2010 enforcement actions resulted in US$14.1 billion ordered returned to investors
Current fragmented standards fail to protect investors
Public is confused about the distinction between investment advisors and broker-delears
Investors frustrated with low interest rates are susceptible to fraud, NASAA warns
Available info includes customer complaints, disciplinary incidents
House fiduciary standard provides strong investor protection
State securities regulators “profoundly disappointed” by latest Senate bill
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