SEC, FBI Warn of Scammers Posing as Brokers and FAs
August 3, 2021 by Alex Padalka
The Securities and Exchange Commission and the Federal Bureau of Investigation are warning investors about fraudsters posing as registered brokers or investment advisors to perpetrate scams.
Some fraudsters could be falsely claiming that they’re registered with the SEC, the Financial Industry Regulatory Authority or a state securities regulator, the SEC’s Office of Investor Education and Advocacy says in an investor alert issued Tuesday.
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Originally Posted at Financial Advisor IQ on July 28, 2021 by Alex Padalka.
Categories: Industry Articles