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What is overtrading?

Overtrading, which is commonly called churning, is an illegal practice that can cause you to lose money as an investor. Though this is prohibited and your broker should never do it, if they have control of your money and your account, you need to know what red flags to watch out for.

Red flags that could point to securities fraud

If you have a financial advisor or are involved in an investment program, you expect that the person giving you advice is qualified to do so and has the best intentions. While this is likely to be the case, there are, unfortunately, many investment scams and instances of fraudulent investment advice in New York.

How to prove securities fraud

Even the most lucrative investors can lose money from time to time. In addition, all financial advisors can make mistakes when it comes to predicting the health of the market. This is why all investment losses cannot be automatically attributed to a case of securities fraud.

Understanding securities fraud as a victim

If you lost a lot of money due to investing in a program that was unsuccessful, you could be facing financial difficulties that have changed the way you live your life. You might be struggling financially to the point that you are considering filing for bankruptcy. In addition, you may worry about losing your home or facing other consequences due to debt that has accumulated.

Understanding federal securities law

When a company is looking to sell its securities, its owners must be aware of the laws in place that regulate securities across the United States. These laws were put in place mainly to protect investors and to increase transparency so that buying and selling could take place with full disclosure.

Holding parties responsible for securities fraud

If you invest your time or money into a company in the state of New York, it is likely that you will be doing so based on the information that you believe to be true about the organization. When this information proves to have been incorrect, your investment could be a poor one. If the company has intentionally misled you, they could be guilty of securities fraud.

2 federal securities laws public companies must comply with

Companies going public and offering stocks must follow specific rules. When they don't, there is a chance that criminal charges might follow. In some cases, civil lawsuits are possible. It is imperative that anyone who is in this profession understands what they are expected to do to avoid legal issues.

Insider trading often comes with a long paper trail

There are many laws that people who work in a publicly traded company have to follow. These are meant to ensure that there isn't anything illegal going on that could harm shareholders or the general public. One of the actions that is forbidden is insider trading. This has to do with a person with intimate knowledge of a company using that information to make decisions about their own personally held shares in the company. It is also meant to prevent these individuals from passing their knowledge on to others who have shares.

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