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Theft
Theft occurs when a broker takes money from clients' personal accounts for the broker's personal use without knowledge of the client. While the securities industry is highly regulated, by both the Securities and Exchange Commission (SEC) and the National Association of Securities Dealers (NASD), theft and fraud still occur. Many types of fraud and theft have been reported by the NASD. These may include, but are not limited to, transactions in discretionary accounts in excess of that approved by a client, unauthorized transactions or unauthorized borrowing or use of a client's assets.
Fast Facts
| Issue name: | Theft |
| Applicable law/agency: | Securities and Exchange Commission (SEC), National Association of Securities Dealers (NASD) |
| Related topics: | Securities, stock market losses, breach of fiduciary duty, unauthorized trading |
Internet Investment Fraud Continues to Rise
In late 2005, the Securities Exchange Commission (SEC) issued an investor alert about the rise of Internet investment scams. These types of securities thefts or... read more
Public Warned - Many Types of Online Investment Scams
In late 2005, the Securities Exchange Commission (SEC) issued an Investor Alert about Internet investment scams. These types of securities thefts or fraud continue to climb and new scams or... read more
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Videos Related to Theft
Information about Securities Theft
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Useful Web Sites Related to Theft
Anapol Schwartz, Securities Fraud Attorneys
Burg Simpson, Securities Attorneys
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Wikipedia Entries Related to Theft
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Books Related to Theft
Stealing History : Tomb Raiders, Smugglers, and the Looting of the Ancient World
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