In the most recent news from Wall Street, securities fraud has affected individual investors, pensions and charitable organizations. At the risk of being a bit repetitive, here are five key safety tips that may help you prevent this from happening to you:
1. Know your advisor.
Most advisors (like me) are registered with government organizations. You can research registrations and review any past complaints with the Securities and Exchange Commission (www.sec.gov), or with the respective state regulatory agency. If a firm is a Broker-Dealer, you can research it with the Financial Industry Regulatory Authority (www.finra.org). You