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Defining securities fraud Securities fraud is a very broad term covering several illegal activities in the marketing and sales of various investments. According to the FBI, securities fraud can include a variety of pyramid schemes, broker embezzlement schemes,...
The pump and dump may be described as a manipulative scheme designed to boost a stock price through fraudulent recommendations. The recommendations are based on misleading, false or greatly exaggerated claims. The perpetrators of this illegal scheme are already...
Securities fraud in New York is a serious crime and one with grave consequences. There are suitable reasons to avoid such fraud and make sure you litigate correctly if accused. The statistics make the need to invest fairly evident. Be mindful that the Security and...
Late trading refers to an illegal practice in which after-hours trades are recorded as having been made before a mutual fund’s calculation of its current daily net asset value. The purpose of this is to take advantage of a price that was better prior to the new daily...
One of the U.S. Securities and Exchange Commission’s (SEC) primary roles is to enforce federal securities regulations and laws. New York’s Investor Protection Bureau (IPB) maintains oversight over any state securities code violations. Both of these agencies engage in...
Residents of New York may hear about insider trading happening in their home state often. This is an understandable assumption as New York City is the country's economic hub. However, insider trading can occur in any part of the country at any time. But what exactly...
If you have been a victim of financial fraud in New York, it could take years to put your life back together. Therefore, it is important that you understand the nature of a Ponzi scheme or other attempts to take your hard-earned money. Common elements of a Ponzi...
Most people are open to new opportunities and are always looking for new ways to make investments. While it is great to always be curious about new ventures, it is important that you also are skeptical at first before evaluating the claims of a scheme.If you have been...
The success of the stock market has a huge impact on the financial health of the United States. In the past, it was the case that stock market investors were benefiting from huge financial success for a certain amount of time, followed by a bursting of the bubble in...
Securities are representations of company ownership; whether that's a stock, bond or option. There are federal laws that govern the way that securities are traded in the United States. This is to ensure that the buying and selling of securities are done fairly, and it...
