Securities Fraud Articles
What is a Mini-Tender Offer?
Understanding Mini-Tender Offers According to the Securities and Exchange Commission, “Mini-tender” offers involve tender...
Investor Alert: Avoiding Affinity Fraud
What is Affinity Fraud? According to reports, investment scams that target members of identifiable groups, such as religious or ethnic...
FINRA Rule 3240 Borrowing From or Lending to Customers
Is it OK for Brokers to Borrow from Customers? FINRA Proposes Tightening Rule On Borrowing According to filings with the SEC on January 3,...
Brokers and AI
What is AI? AI is a new and rapidly developing technology that stands for artificial intelligence. It is a branch of computer science that...
Municipal Bond Checklist
Investing in Municipal Bonds People typically invest in municipal bonds because of the tax benefits they offer, and the fact that they’re...
Online Trading Scams & Social Media Fraudsters
How to Avoid Online Trading Scams & Social Media Fraudsters Online scams are becoming more common these days, as the internet...
