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Learn About Us
As a specialized commission, this office conducts inquiries and investigations into matters associated with fraud, suspect documents and money laundering. We are an independent regulatory commission for investment firms.
We exist to ensure that the corporate finance industry is conducting business fairly and under the guidance and supervision of policies set forth by this country.
We are committed to protect the investing public and maintaining the market integrity through efficient governance and regulation of the industry.
Claims and Recoveries Services
The facts in each securities related claim are different. They involve different individuals, different circumstances, different lawyers, and different Panels, Judges, or
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Stockbroker fraud or fraud in connection with the sale of securities is prohibited by federal and state laws. Private causes of action for stockbroker fraud, and investment fraud
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