Does the SEC or FINRA adequately protect investors? | Silver Law Group | Securities and Investment Fraud | Free Case Evaluation : (800) 975-4345 | 11780 W. Sample Road | Coral Springs, FL 33065




The Securities and Exchange Commission and FINRA are the two primary regulators of the securities industry and markets. There's no question that over the years they have failed to detect several major frauds out there, including Bernie Madoff, Allen Stanford, and misconduct at some of the country's largest financial institutions. While it's easy to bash these agencies for failing to protect the investors, the one thing that every investor really does need to appreciate is that their function is not to recover investor losses and that their investigations frequently come after the fact and can take many years, rarely ending in restitution for the investors. The average investor, if they have been mislead or wronged, need to seek counsel of their own to pursue their own legal remedies.