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Bookmark or Share- Financial and Investment Fraud | OCCAlert your state securities regulator or attorney general’s office Contact your state’s securities regulator or attorney general’s office for local assistance. Notify your investment firm or broker Immediately report the fraud to your broker, investment advisor, or the compliance department of the firm where the investment occurred.
- What Is Securities Fraud? Definition, Main Elements, and ExamplesSecurities fraud is a form of white-collar crime that disguises a fraudulent scheme in order to gain finances from investors.
- Securities Fraud: Definition, Legal Implications, Signs and How to ...Securities fraud encompasses various deceptive activities that harm investors, companies, and financial markets. Common types of securities fraud include insider trading, Ponzi schemes, front-running, and pump and dump schemes.
- What Is Securities Fraud? Meaning, Elements And PunishmentsLearn about securities fraud, a crime involving misrepresenting or omitting information for financial gain in connection with trading securities.
- 18 U.S. Code § 1348 - Securities and commodities fraudshall be fined under this title, or imprisoned not more than 25 years, or both. (Added Pub. L. 107–204, title VIII, § 807 (a), July 30, 2002, 116 Stat. 804; amended Pub. L. 111–21, § 2 (e) (1), May 20, 2009, 123 Stat. 1618.)
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