Safeguarding From Fraudulent Activity
Safeguarding From Fraudulent Activity At any given time, natural disasters are occurring in various locations around the country. These types of situations are ripe for fraudulent activities. Bad actors surface around every corner, and it is imperative that your broker dealer does not become a victim of these criminals. The Financial Industry Regulatory Authority (“FINRA”) defines a bad actors as someone “who seeks to evade regulatory requirements and harm investors for their own personal gain.” A bad actor can show up in many ways and forms. Several red flags include: Someone within your broker dealer may receive an email requesting Read more about Safeguarding From Fraudulent Activity[…]