A financial windfall might seem like an uncomplicated blessing, but found money of any size requires thoughtful management to maximize its full potential. Beneficiaries might find that they have an urge to splurge, are unsure how to invest their assets, or are targeted by fraudsters—any of which can lead to a money blunder.
Many financial scams involve unregistered or unlicensed individuals, or the sale of unregistered investments. That's why it’s particularly important to ask questions about investments and investment professionals and do your own research to confirm their answers.
Remarks by Chairman and CEO Rick Ketchum at the Research Center on the Prevention of Financial Fraud 2011 Conference
A spinoff occurs when a corporation divests itself of a division, which becomes an independent company that trades separately from its parent. Learn why corporations spin off subsidiaries and what this means for investors.
We are reissuing this alert because, as interest rates have increased in recent months, so have calls to FINRA from investors concerned that promotions for higher-than-average CD rates are in fact pitches for high-commission investment products.
The majority of investment professionals are trustworthy individuals who act with integrity. Unfortunately, some are not. Certain behaviors that FINRA has observed raise red flags and often warrant disciplinary action. Here are five behaviors that should have you asking questions.
In many cases, an unforeseen emergency can derail your financial plans. However, there are steps you can take to soften the impact of an unexpected hit to your finances. Here are a few tips on how to prepare for and survive financial hardships.
