AARP, FINRA Investor Education Foundation and Heart+Mind Strategies identify key intervention opportunities WASHINGTON—AARP, the FINRA Investor Education Foundation (FINRA Foundation) and Heart+Mind Strategies today released Addressing the Challenge of Chronic Fraud Victimization, a study that identifies evidence-based ways to help repeat victims of financial fraud and their families.
WASHINGTON – The Financial Industry Regulatory Authority (FINRA) announced today that it has barred former Goldman Sachs & Co. research analyst Brian Maguire for twice purchasing securities after he learned a fellow analyst was upgrading his recommendation in impending research reports and for lying to FINRA staff about his trading.
We congratulate Gary Gensler on his confirmation as Chairman of the Securities and Exchange Commission. Chairman Gensler brings to the Commission an outstanding record of public service, deep expertise in the functioning of our capital markets, and consistent advocacy for the interests of investors. We look forward to working with Chairman Gensler to advance our […]
Recommend risky investments
Excessively trade your account
Fail to limit securities losses
Over-concentrate your portfolio
Recommend unsuitable investments
Make material misrepresentations
Excessively use margin
Earn huge commissions while you lost money
Sell you auction rate securities
Sell you a high risk private placement
Sell you highly leveraged ETF’s
Execute unauthorized trades
Sell you junk or church bonds