Tag Archives: Illegal Trading Profits
SEC Cites “Lax” Oversight in Illegal “Trading Profits” Case
Investors should always be on the lookout for brokers who add charges to their stated commissions. Securities fraud does not always involve Ponzi schemes or people selling fictitious investments. Many times, there is fraud in routine, everyday transactions where a seemingly legitimate broker takes markups on trades without telling the investor. SEC v. Lax… Read More »
