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Jan 13, 2017 by |

Our Marin County Attorney: Securities Exchange Commission (SEC) Investing


Investing Is Good. Investing Well Is Better

The Securities Exchange Commission Tips for Investing

Recently, the Securities and Exchange Commission (SEC) released a few tips to help investors make safer, more informed investments. We thought we should share those with you.

1. Never be afraid of doing a good old-fashioned background check. If you are going to trust your money to someone, you need to know everything about that individual and his or her firm. Background checks can be free. You can find more information and help either online or over the phone.

2. Any investment that promises high returns and little to no risk is literally too good to be true. Avoid false promises and outlandish claims. Investments that offer high returns have high risk; there’s no way around it.

3. Social media is good for a lot of things, but not for investing! Shy away from brokerages and investment firms plastered all over your Facebook page.

4. Pay your fees. Pay your fees. Pay your fees. Use qualified, professional advisors to help you, advisors who do not have a financial stake in the decision you need to make. Stick with professionals without a commission at stake. Such advisors may charge you a fee for their time. Hence, the advice: pay the fee.

5. Invest in registered securities only. Do not ever invest in unregistered securities unless you’re a “qualified investor.” The risks are extremely high on many levels and such investments are suited only for very sophisticated, high net worth investors.

6. Keep your portfolio diversified. Invest in different sectors of the market and different companies within those sectors. Diverse investments spread the risk of loss more evenly over your portfolio. The old saying is true: don’t put all your eggs in one basket.

7. Use goal calculators to see how close to saving goals you are. Define your goals and keep track of where you stand in meeting them.

These pointers are just a start of course. But a good one. Caution is the word for 2017. There will be plenty of opportunities for you, no doubt. Just be sure to tread slowly and wisely and safely.

Contact Us

If you or a loved one has experienced SEC fraud in Marin County or elsewhere in California, contact the Evans Law Firm SEC fraud attorneys at (415) 441-8669, or by email at Our attorneys have experience with complex financial contracts, and large insurance companies. We can help guide your case through a jury trial or toward an equitable settlement. We handle cases involving physical and financial elder abuse, qui tam and whistleblower law, nursing home abuse, whole life insurance and universal life insurance, and indexed, variable, and fixed annuities.

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