Securities and investment fraud for stocks and bonds - securities fraud education, books, and reporting links

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				Stock and Securities Fraud (how to avoid it)

If you wish to investigate a security for value, check our What's it worth? page.

We realize that some of our site visitors are interested in real investments and not collectibles. This page is provided for those just passing through.

We have listed some information about investing fraud and some common schemes. Please check out some of the links to help you avoid stock and bond fraud and see some of the examples that the SEC has prosecuted.

We also have books below that cover the subjects of fraud, investing, stocks, and the stock market.

ABOUT SECURITIES FRAUD
Securities fraud is an act committed by an entity intending to manipulate the market through deliberate concealment, or distortion of information. The SEC acts to regulate against securities fraud by enforcing investment acts and laws. The SEC monitors the securities market and investigates unusual market activity. The most common forms of securities fraud that the SEC regulates against are: Insider trading, Accounting fraud, Misrepresentation

Corporate fraud or shareholder fraud occurs when a corporation conceals information or misrepresents itself before the public. Because corporations are designed to function as entities of their own, directors have a lower level of personal responsibility for the outcome of business decisions than they would if they were direct owners. In addition, corporation directors operate under limited liability.

Investment and brokerage houses commit fraud when they offer false or deceptive information to their investors in an effort to manipulate the market. The SEC has set business standards for broker-dealers to follow in order to advise investors well, and handle the flow of inside information fairly.

IDENTIFYING AND AVOIDING SECURITIES FRAUD
The following links are online guides written by the SEC on education, financial statements, investigating your broker or adviser, what to watch out for, and how to file a complaint.

Investors - Educate Yourself How to Avoid Fraud Information Matters How Fraudsters Try to Look Legit Mini Tender Offers: Tips for Investors Microcap Stocks: A Guide for Investors Microcap Fraud and Scams Stock Market Fraud Survivor Checklist Which companies file with the SEC?	Check Out Your Broker or Adviser Check Out Brokers and Advisers Analyzing Analyst Recommendations Potential Conflicts of Interest What Conflicts May Mean to You Disclosure and Rule Changes Cold Calling More Materials on Brokers More Materials on Advisers
Watch Out for Scams and Schemes Affinity Fraud: Avoid Investment Scams That Target Groups Broken Promises: Promissory Note Fraud Fleecing of Foreign Investors: Getting Burned by Hot U.S. Stocks Pump & Dump .con: Avoiding Stock Scams on the Internet Internet Fraud: Avoid Internet Investment Scams Wrong Numbers and Stock Tips on Your Answering Machine	Help and How to File a Complaint at the SEC SEC Center for Complaints and Enforcement Tips SEC's Office of Investor Education and Advocacy

INVESTMENT FRAUD INVOLVING US TREASURY SECURITIES:
The Bureau of the Public Debt and the U.S.Treasury are aware of several fraudulent schemes or scams that involve what are claimed to be securities issued or backed by the Treasury Department or another part of the United States Government. These scams have been directed at banks, charities, companies, and even individuals, by individuals or organizations seeking payment on the fraudulent securities.

How Marketable Treasury Securities Work
Learn about the types of securities, how they are sold, and how book-entry securities are held.
Scams Involving Treasury Securities
Find out more about the renting, leasing, or blocking of Treasury securities
Examples of Known Phony Securities
See examples of phony securities and learn more about the scams.
Historical Bond Fraud
Learn about the many scams involving historical bonds.

Other Fraud Sites of Interest
Securities and Exchange Commission AKA the SEC -- get your taxes worth!	Regulatory Contacts and Exchanges NYSE, AMEX, Nasdaq, etc.	State Securities Regulators Check with the state of incorporation
NASS.org National Association of Secretaries of State	FINRA.org Financial Industry Regulatory Authority	NACAA.org N. American Securities Administrators
World Federation of Exchanges International information	Canadian Regulators Links to every territory	International Regulators Outside the US (excludes Canada)
Int'l Org. of Security Commissions International information	Federal Reserve System	Comptroller of the Currency
Consumer Sentinel	Department of Justice	Federal Bureau of Investigation
Federal Deposit Insurance Corp	Financial Crimes Enforcement	United States Secret Service
Treasury Direct Info about US bonds, bills, and notes	North East Fraud Forum (UK)	Metropolitan Police (UK) New Scotland Yard

COMMON SENSE ADVICE:

	There are no sure things in investments. There are risks of some level with every stock, bond, or mutual fund. If it sounds too good to be true, find something else.
	Do your due diligence. Investigate and study before buying. Do not buy on impulse because you want to get in on the action. Realize that some investment advice is just a fancy sales pitch. Examine that the type of investment fits your needs and age.
	Only get stocks from a broker. Investments are regulated so the seller needs a license! If you just want the certificate, that's what we sell. Check our catalog.
	Never issue funds to an individual for investments. You should only be transferring funds to name companies (e.g. eTrade, Merrill Lynch). If you don't see them on TV or in the Wall Street Journal, you should not be comfortable.
	Listen and don't follow. Everyone is trying to sell their hottest pick (or what gets them the biggest commission. Only buy what you have researched and fits your needs.
	Don't give away your personal data (e.g. social security number, credit card) unless you are dealing with a name company that you have verified. Websites should have a security feature for accepting payment online.
	Only invest with brokers in your country. Please do not send money to Nigeria! Invest with name companies only. Check with friends if you do not know the company name.
	You did not win a prize in a lottery or contest that you did not enter. Do not send money on deposit or for shipping of prizes that you won.

We also provide an extensive investment book store where you can read on past Wall Street frauds as well as how to protect yourself from investment schemes.

Please note that OldStocks.com does not sell investments or investment advice. It is highly recommended that you contact a registered investment professional for these services. Items sold in our catalog are cancelled or obsolete, and only sold as collectible items.

We provide free estimates on collectible value of your certificates. We have a large collection of references and databases that provide past realized prices. Also, our vast knowledge of the hobby can provide you the latest pricing on any US certificate. Again, this service is completely free. e-mail us.


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