Investor Protection Enforcement Council

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IPEC · Home; Resources. Consumer Education · Investor
Alerts · Suitability · Churning · Margin Account Fraud ·
Unauthorized Trading · Selling Away · Failure to ...

Financial Suicide. Investment professionals, including
stock brokers, have a duty to refuse unsolicited
transactions when the transactions are inappropriate or
...

Investor Alerts. BITCOIN SCAM. Bitcoin and other digital
currencies have garnered considerable attention. Media
reports have focused on virtual currency's ...

Suitability. The federal securities laws require
investment professionals and stockbrokers to make
appropriate or suitable recommendations to their
customers, ...

Client Recoveries. The facts in each securities related
claim are different. They involve different individuals,
different circumstances, different lawyers, and ...

Arbitration and Mediation. Stockbroker fraud or fraud in
 connection with the sale of securities is prohibited by
federal and state laws. Private causes of action for ...

Churning. Another form of stockbroker misconduct or
investment fraud includes excessive activity or churning.
 Securities brokers are typically compensated by ...

Investor Advisory. Alerts and Updates; Investors Advised
to Cautiously Monitor Trading Online Accounts; Investor
Education; Investment Management and ...

Mutual Fund Fraud. It is a fraudulent and deceptive
practice to engage in the sale of back-end loaded, Class
"B" mutual fund shares, where a customer would ...

Investor Education. Recognizing the value and impact of
 investor education, the Department of Compliance and
Securities Division provides valuable ...

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