The SEC’s Division of Enforcement’s Retail Strategy Task Force and Office of Investor Education and Advocacy (OIEA) have released an investor alert encouraging investors to be careful when investing in offerings that are “broadly advertised”.
Did you invest with an unregistered stockbroker? Investments take many forms; many securities are investments other than stocks listed on a national exchange. Over the last decade, some of the largest Ponzi schemes in America were assisted by unregistered financial advisors selling unregistered securities. Continue reading ›