Savings and Investments

Buying Stocks

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

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


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