There are often two types of people who get heavily involved in investing their money. First, there are those who are preparing for retirement. They have been carefully tracking the balances of their retirement accounts for years, waiting for that opportunity to leave...
The SEC has very stringent rules that require all broker-dealers to adopt and comply with rigid customer identification rules. These rules are intended to limit the probability that a prospective customer for the broker-dealer does in fact have sufficient assets to...
The SEC recently announced that it has obtained emergency relief, including an asset freeze, in an ongoing fraud case against New York developer Richard Xia (Yi Xia) and his company, Fleet New York Metropolitan Regional Center, LLC. According to a complaint filed in a...
When you hear news stories about corporate malfeasance, you usually hear only the most egregious criminal activity. Ponzi schemes, IPO fraud, and massive misrepresentations on a grand scale are commonly reported. While these activities can certainly leave you with...
