Tag: broker

Frequently investors fall victim to fraudsters because of greed. The Commission has brought numerous cases were investors turned over their hard-earned cash to fraudsters because the potential return from a particular investment appeared so good the investor just could not …

Trusted Broker Misappropriates Funds Read More »

Tagged with: , ,

Who is a broker — a question thought long settled but which is the focus of a recent Commission action and dissent by a Commissioner. Brokers are required to register with the Commission by Section 15(a)(1) of the Exchange Act. …

Who is a Broker? Read More »

Tagged with: ,