Securities Law

A Security is a fungible, negotiable instrument that holds monetary value. The two major types of securities are equity instruments (stocks) and debt instruments (bonds). Equity is ownership in a business or a venture. Debt is a right to repayment with stated interest from a corporation.

Although these are the two most common types of securities, almost any commodity can be securitized, and there are even many hybrid securities that mix debt and equity. 

Securities are regulated by the Securities and Exchange Commission (SEC), State Blue Sky Laws, The Investment Company , and Investment Adviser Acts of 1940, and numerous federal and state regulations.

Stock brokers, Financial Planners, and other Investment Advisers have a duty to recommend investments based on your based interests, in consideration of the totality of your circumstances. Nevertheless, greed often causes Advisers to recommend investments and practices which can generate large commissions for themselves, or for other nefarious purposes.

Some unscrupulous brokers and advisors participate in practices such as unsuitable investment recommendations, Ponzi schemes, churning, over-concentration, excessive  fees, unauthorized trading, theft and more.

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