Home : Securities
Securities
There are many types of securities misconduct, which may require individuals or companies to seek legal action or arbitration. Common claims include failure to hedge, theft, churning, unauthorized trading and selling away. Such misconduct can cost investors their savings, investments or retirement accounts. The Security and Exchange Commission (SEC) and the National Association of Security Dealers (NASD) regulate the securities industry. One of the tasks of the SEC is ensuring all investors have access to certain information about public companies. The SEC also brings civil action against companies or individuals found to participate in insider trading, accounting fraud or other misconduct. NASD works to protect investors through self-regulation of the securities industry. The NASD can impose sanctions against members who participate in misconduct.
Fast Facts
| Issue name: | Securities |
| Applicable law/agency: | Securities and Exchange Commission (SEC), National Association of Securities Dealers |
| Related topics: | Annuities, breach of fiduciary duty, churning, Edward Jones, failure to hedge, failure to supervise, improper use of margin, misrepresentation/omissions, overconcentration/failure to diversify, retirement plans, securities unsuitability, selling away, stock market losses, theft, unauthorized trading |
Please choose a legal issue for more:
- Annuities
- Breach of Fiduciary Duty
- Churning
- Edward Jones
- Equity Indexed Annuities
- Failure to Hedge
- Failure to Supervise
- Improper Use of Margin
- Misrepresentation/Omissions
- Overconcentration/Failure to Diversify
- Retirement Plans
- Securities Unsuitability
- Selling Away
- Stock Market Losses
- Theft
- Unauthorized Trading
Investors Should be Wary of High-Pressure Sales Calls
The Securities Exchange Commission (SEC) , and the North American Securities Administrators Association Inc. (NASAA) issued a Consumer Alert in... read more
Senior Investor Fraud on the Rise - "Senior Specialists"
In December 2005, the Department of Financial Institutions - Securities Division issued a Consumer Alert that cautioned senior citizens to carefully check the credentials of... read more
View the Securities Main Articles page here
Jury Verdicts Related to Securities
View the Securities Jury Verdicts page here
Videos Related to Securities
Legal Questions about Brokerage Firms
View the Securities Videos page here
Legal Encyclopedia Entries Related to Securities
View the Securities Legal Encyclopedia Entries page here
FDA Information Related to Securities
Prescription Drug Marketing Act of 1987; Prescription Drug Amendments of 1992;
View the Securities FDA Information page here
Government Articles Related to Securities
FORMER INSURANCE AGENTS INDICTED IN MASSIVE INVESTMENT FRAUD
View the Securities Government Articles page here
MSN Newsfeeds Related to Securities
Writers Guild Leaders Unveil Tentative Labor Contract (Update3)
Credit crisis 'here to stay,' say top bankers
View the Securities MSN Newsfeeds page here
News Articles Related to Securities
NASD Fines Merrill Lynch $5 Million for Call Center Supervisory Failures, Sales Contest Violations
Fannie Mae to Pay $400 Million Penalty for Accounting Fraud
View the Securities News Articles page here
Useful Web Sites Related to Securities
View the Securities Useful Web Sites page here
Wikipedia Entries Related to Securities
U.S. Securities and Exchange Commission
View the Securities Wikipedia Entries page here
Books Related to Securities
Asset Protection : Concepts and Strategies for Protecting Your Wealth
View the Securities Books page here
