SEC Issues Investor Alert for Seniors – Five Red Flags of Investment Fraud

Stockbroker Law - Tuesday, August 30, 2016
SEC Issues Investor Alert for Seniors – Five Red Flags of Investment Fraud

In an investor alert and bulletin dated July 18, 2016, the United States Securities and Exchange Commission Office of Investor Education and Advocacy noted the following red flags to help senior investors identify possible fraudulent schemes which have been targeting seniors. These include:

  • Unregistered and unlicensed sellers
  • Promises of higher returns with little or no risk
  • Pressure to buy quickly
  • Free meal seminars
  • Negative employment, regulatory and personal financial history of financial professionals

We offer a free initial consultation to seniors who may have been victimized in the financial markets. For a free initial consultation contact the Law Offices of Timothy J. O'Connor at (518) 426-7700.

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