SEC Press Release (SEC-PR-2501-7) (SEC-PR-2501) THREE INVESTMENT ADVISER REPRESENTATIVES SETTLE SEC CHARGES FOR ACTING AS UNREGISTERED BROKERS Press Release: 2501-7 Date: Jan. 14, 2025 Source: https://www.sec.gov/newsroom/press-releases/2025-7 Categories: Unregistered Brokers SEC Related Documents: SEC Order – VCP Financial LLC (PDF 6-pages) SEC Order – Tamir Shabat (PDF 7-pages) SEC Order – Danny Z. Spiegel (PDF […]
Category: Unregistered Brokers
Engaging with Unregistered Brokers can expose investors to numerous risks, including fraud and financial loss without any recourse. Understanding the characteristics, risks, and warning signs of unregistered brokers is crucial in making informed investment decisions. By taking proactive measures and staying vigilant, investors can protect themselves and ensure their financial security in a complex market landscape.
- ♦ (SEC) – Pause Program
- ♦ (CFTC) – RED List
Unregistered Brokers – Article – ( Articles ) Unregistered Brokers (UB) Introduction UB play a controversial role in the financial markets. They operate outside the regulatory framework designed to protect investors, which can lead to significant risks and challenges. This article explores the nature of unregistered brokers, their operations, potential dangers, and how investors can […]