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Podcast: Investor Connect Podcast
Episode: Startup Funding Espresso – Filing a Complaint With the SEC
Description: 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 th...