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Each complaint is thoroughly reviewed and passed to the appropriate SEC office. The Office of Investor Education and Assistance will handle certain general questions about the securities laws and complaints relating to financial professionals or a complainant’s personal financial matters. Attorneys in the Division of Enforcement evaluate complaints implicating violations of the federal securities laws. It is the general policy of the SEC to conduct its investigations on a confidential basis to preserve the integrity of its investigative process as well as to protect persons against whom unfounded charges may be made or where the SEC determines that enforcement action is not necessary or appropriate.
This is general information about affinity fraud and steps you can take to minimize your chances of being enticed into fraudulent investment schemes, but it is not a substitute for qualified legal counsel. Consult with a qualified securities attorney if you need legal information about affinity fraud or any other securitiesrelated issue.
This article is intended to be helpful and informative. But even common legal matters can become complex and stressful. A qualified fraudulent misrepresentation lawyer can address your particular legal needs, explain the law, and represent you in court. Take the first step now and contact an attorney in your area from our directory to discuss your specific legal situation.