Series 63: 4.5.1. Common Categories Of Investment Advisory Fraud

Taken from our Series 63 Online Guide

4.5.1. Common Categories of Investment Advisory Fraud

Fraud is an exceptionally broad concept that may show up in any part of a securities professional’s business. To avoid committing fraud, securities professionals and firms must remain honest in their dealings with clients and the public. Some common types of investment advisory fraud that have been prosecuted by the SEC are listed next (taken from an academic paper by Dimmi and Gerkin). These include:

• Direct theft. The adviser steals directly from clients and hides it with fal

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