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Every year, investors are bilked out of millions of dollars because they establish relationships with unscrupulous individuals and firms. The fraudulent operators may present themselves as Brokers, Financial Planners, Accountants, Lawyers, or Investment Advisors... some may even be legally registered for those titles but are behaving in unethical or illegal manners. Your best protection is to be a knowledgeable consumer. Do this by checking the background and history of any investment firm or investment professional you're planning to work with [see table below]. Ask lots of questions [see examples below], and be a comparison shopper by talking to more than one provider before making your decision. If you have doubts about a provider, trust your instincts and look elsewhere. To verify a provider's legal Registration, inquire about a provider's disciplinary history, or discuss dispute arbitration procedures, contact one of these Regulators...
Consider asking these questions when you talk to an investment services provider...
For additional information about this topic, visit the external InvestorProtection site. |
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