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

Proven attorney can add to SEC tips for safeguarding investments

That the U.S. Securities and Exchange Commission sees it as necessary to issue end-of-year recommendations to investors immediately indicates two material points, namely these:

First, and as indicated in a recent article in a national financial publication, the commission simply wants individuals and families who entrust advisers with their hard-earned money to "make better decisions."

And, second, of course, is that the SEC is concerned about adviser/broker activity that might be inimical to investors' best interests, rather than promoting them.

As to that second point, there is certainly no dearth of evidence to suggest that investors should not be concerned. For ample proof of that, we draw readers' attention to our January 4 blog post. We pointed out therein to proofs that there are, indeed, "lots of bad apples" who manifestly defraud those who justifiably rely upon them and, instead, seek to stuff their pockets with money that rightfully belongs to others.

The above-cited article smartly suggests that any potential investor carefully vet his or her adviser in advance of handing over any money. And it notes that, if an investment scheme "sounds too good to be true, it probably is."

The piece additionally notes that many broker behaviors should reasonably raise suspicion, including things like overactive trading, questionable timing regarding the selling and purchase of investments and other conduct that should signal "classic fraud red-flag" conduct.

A bottom line concerning any questionable broker activity is this: A concerned investor should trust his or her instincts.

And if things seem wrong, it certainly makes sense to contact a pro-investor securities law attorney to closely investigate questionable activity and, when necessary, take strong legal action to deter it and to push for a meaningful remedy that fully compensates for any resulting loss.

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