SEC Wants to Know Whether a NJ Brokerage Firm is a Ponzi Scheme
Monday, January 14th, 2008Registered Broker-Dealer. Member of the Financial Industry Regulatory Authority (FINRA). Securities Investor Protection Corporation (SIPC). Every brokerage firm you’ve ever done business with touts those three things. Let’s admit it-unless you work in the industry, those claims make the firm sound stable, solid, and safe. They give it an aura of legitimacy. A case the SEC is investigating should cure us all of that misunderstanding. (more…)
