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Investor Protection


Fraud Prevention and Investor Protection Resources 

                                                                                                                               Updated 08/03/2015

The Doctor And the Drug Dealer: A Parable in Four Stanzas About Registered Investment Advisors and Broker-DealersJonathan Friedland.

FINRA Order: Tony Thompson Barred From Securities Industry.

Fraud is Alive and Well – Buyer Beware, by Jonathan Friedland.

FINRA Addresses Compliance Issues in Annual Letter“, by the AIMkts Editors.

“The SEC and FINRA Got Your Back“, a look at investor protection resources, by the AIMkts Editors.

Op Ed: Know Your Online Securities Intermediary (or Lack thereof),” by Andrew Stephenson, CrowdCheck.

Looking for a Financial Advisor? Here’s What Not to Do,” by the AIMkts Editors.

Investor Fraud Protection: Who’s Got Your Back?” by AIMkts Editor-in-Chief, Adam Schlagman

Five Things You Should Ask Your Financial Advisor” by AIMkts Managing Editor Alicia Purdy

The Greatest Lie Ever Told: How Wall Street Convinced Main Street That Stocks are Safe” by Jason Lampa, COO of The Alternative Investment Store

“Watch Out for Investment Scams” by Wall Street Counsel securities attorney Stephen A. Bornstein

Common Investment Abuses,” by Tim Sobolewski, CFP (Amherst, NY), and Joanne Schultz, attorney (Williamsville, NY). Published by Financial Planning Association, updated April 2012. Good info on avoiding fraud, for all investors.

Investment Abuse, Part 2,” by Tim Sobolewski, published by FPA, updated May 2012. This focuses on taking action if you are a victim of fraud.

Financial Industry Regulatory Authority offers several articles and alerts on investor protection. FINRA also provides a neutral dispute resolution forum, for investors who have an unresolved complaint about a securities firm or individual broker.

How to Avoid a Ponzi Scheme: Lessons from the Madoff Fraud,” by David Zuckerman, CFP, CIMA, published by Financial Planning Association, updated April 2011.

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