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Best of the Web: Fighting Financial Fraud

December 2009

Picking Stocks

Madoff may be behind bars, but financial crooks are everywhere.  Your best defense is to get a good financial education and maintain a healthy degree of skepticism. It helps to stay informed about the latest scams: The Financial Industry Regulatory Agency or FINRA publishes regular alerts on investment scams and questionable products or sales pitches. You can review recent regulatory alerts here.

And you can subscribe to email updates from FINRA here

The US Securities and Exchange Commission web site is another treasure trove of resources to help you learn more about safe investing.  

Both FINRA and the SEC provide information and links to help you check out brokers and advisors and also provide guidelines for filing a complaint. 


The information provided here is for general informational purposes only and should not be considered an individualized recommendation or personalized investment advice. The investment strategies mentioned here may not be suitable for everyone. Each investor needs to review an investment strategy for his or her own particular situation before making any investment decision.

All expressions of opinion are subject to change without notice in reaction to shifting market conditions. Past results are not indicative of future performance. Outside sources used in this article are believed but not guaranteed to be accurate. Examples provided are for illustrative purposes only and are not representative of intended results that a client should expect to achieve.