Month: August 2012

FINRA Requires Verification of e-Mailed Instructions to Transmit or Withdraw Assets From Customer Accounts

In FINRA Regulatory Notice 12-05 (Jan. 2012), the Financial Industry Regulatory Authority (FINRA) cited an increase in the number of reported cases of money stolen from customer accounts as a result of bogus e-mail instructions from e-mail accounts of customers, which had been hacked by scam artists.  In addition to FINRA’s recent notice, the Federal […]

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Vermont Investors Entitled to Protections Under the Vermont Consumer Protection Law

The State of Vermont Legislature has passed consumer fraud laws to protect Vermont citizens from unfair and deceptive business practices.  These laws are also designed to encourage a commercial environment highlighted by integrity and fairness.  Relief is available to defrauded consumers under Vermont’s consumer fraud laws (9 V.S.A. §2451, et seq.).  This law was enacted […]

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