Investing Resources

Avoiding Scams

What are the top complaints individual investors make to the SEC?

The top complaints are liquidation/account closing issues; short selling; theft of funds/securities; manipulation of securities/prices/markets; advance fee fraud; inaccurate or incomplete disclosure of information; retirement/401(k) plan issues; bankruptcy/issuer reorganization; delivery of funds/proceeds; and failure to disclose relevant information about investments.


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