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Cyber Security Knowledge Protects Your Investments

Cyber Security Knowledge Protects Your Investments

by Broker Fraud | Apr 3, 2026 | Investment Fraud, Securities Litigation

Anyone who has had a bad experience purchasing a product that was advertised through an ad online is aware of the potential for becoming a victim of a retail cyber scam. Gen Digital, Inc., a multinational cybersecurity and digital technology company provides...
Highlights from the NASAA 2025 Enforcement Report

Highlights from the NASAA 2025 Enforcement Report

by Broker Fraud | Mar 6, 2026 | Securities Fraud, Securities Litigation

Founded in 1919, the North American Securities Administrators Association (NASAA) is the oldest international investor protection organization. NASAA’s primary goal is to advocate and act for the protection of investors, especially those who lack the expertise,...
Overview of the Types of Investment Fraud (Part 1)

Overview of the Types of Investment Fraud (Part 1)

by Broker Fraud | Jan 9, 2026 | Investment Fraud, Securities Litigation

Investment fraud in 2025 was on track to continue the steady year-to-year increase that has existed since 2020. Americans lost $3.5 billion in investment fraud and scams in just the first half of 2025 and that figure is projected to rise above the $5.8 billion in...
Focus Areas of SEC Enforcement Actions

Focus Areas of SEC Enforcement Actions

by Broker Fraud | Dec 11, 2025 | Securities Fraud, Securities Litigation

The U.S. Securities and Exchange Commission’s (SEC) was founded in 1934 during the Great Depression. The SEC’s mission is to “protect investors, maintaining fair, orderly, and efficient markets, and facilitating capital formation” with the end...
Avoiding SEC Violations: Resources for Small Businesses

Avoiding SEC Violations: Resources for Small Businesses

by Broker Fraud | Oct 10, 2025 | Securities Fraud, Securities Litigation

Starting up and operating a small business has many challenges. Knowledge of rules and regulations is one of the most challenging activities for many small business owners. The U.S. Securities and Exchange Commission (SEC) provides a range of resources to help small...
What to Do if You Get a Subpoena from the SEC

What to Do if You Get a Subpoena from the SEC

by Broker Fraud | Sep 19, 2025 | Securities Fraud, Securities Litigation

The U.S. Securities and Exchange Commission (SEC) is a federal government agency charged with protecting investors and ensuring fair and efficient capital markets, making sure that investment advisors, stock exchanges and other market participants comply with U.S....
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  • Cyber Security Knowledge Protects Your Investments
  • Highlights from the NASAA 2025 Enforcement Report
  • Overview of the Types of Investment Fraud (Part 2)
  • Overview of the Types of Investment Fraud (Part 1)
  • Focus Areas of SEC Enforcement Actions

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