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You may have lost money in your investment portfolio,
due to mismanagement and not even know it.

November 2015 Archives

Data breaches could support stock manipulation scheme

With data breaches becoming an ongoing problem for large scale retailers, it is not surprising that businesses in the financial industry are being targeted by cyber hackers. Essentially, customer information lists, and the ability to purge specific information from them, are valuable on the black market.

FINRA fines Scottrade over failure to retain electronic records

Document retention rules may not be important to the average investor. However, they are critically important to regulatory agencies. The retention of documents is an important part of the consumer protection process, because it ostensibly lends an extra layer of transparency that is critical to maintaining consumer confidence.

Social media guidelines that some firms may not be following

The use of social media to sell products and services has exploded over the past few years. Since more people (and potential investment customers) are using smart phones and tablets, it has become more commonplace to disseminate information and inform consumers of securities through Internet ads, text messages and other social media platforms.

SEC prosecutes another penny stock manipulation case

The way that some penny stocks and blank check companies are advertised, who wouldn’t want to invest in them? After all, the possibility of investing less than $100 and being able to garner thousands in profits may be too good to be true. But like the old adage, if something seems too good to be true, it probably is.

More firms to pay restitution over improper fees

In a prior post, we highlighted how the Financial Industry Regulatory Authority ordered several financial institutions to pay restitution to customers who were charged mutual fund sales charges for transfers on certain charitable and retirement accounts. The restitution that would be paid would be more than $55 million, and more than 75,000 eligible accounts were affected.

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