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SEC Approved!

Get in the game. We need you.

Interviewers often ask me to list three practical tips that people can use to avoid an investment fraud. I usually recommend calling your state securities commissioner to find out whether the salesperson has a license, never writing a check to your broker or adviser, and avoiding anything that guarantees profits. A case from the SEC last month suggests another slam-dunk, sure-fire indicator of fraud. According to the SEC’s press release: (more…)