Investor Connect Podcast

Filing a Complaint With the SEC

Hello, this is Hall T. Martin with the Startup Funding Espresso -- your daily shot of startup funding and investing.

The Securities and Exchange Commission or SEC oversees the securities industry in the US.

Here’s a list of sources of fraud related to securities:

Ponzi and pyramid schemes in which funds collected from one investor are paid to another investor with no actual investment.

Theft or misappropriation of funds in which employees take money from the company.

Stock price manipulation in which one's activities increase or decrease the price to the gain of the manipulator.

Insider trading in which those with inside information make gains through stock trades.

Bribery in which employees pay bribes to others to accomplish their goals.

Fraudulent conduct associated with securities.

Report these to the SEC through their website or hotline.

There are whistleblower protections for those who provide information to the SEC.

Remember, there’s no such thing as a guaranteed investment.


Thank you for joining us for the Startup Funding Espresso where we help startups and investors connect for funding.

Let’s go startup something today.


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Direct download: 02.Filing_a_Complaint_With_the_SEC.mp3
Category:general -- posted at: 5:00am CDT