Originally published by Jason S. Coomer Texas Lawyer.
Dark pool investment fraud and ETF (exchanged-traded funds) investment fraud can be the basis of whistleblower reward bounty actions. Through SEC bounty actions, investors and financial professionals can earn large financial rewards for properly exposing investment fraud. For more information on this topic, please go to the following web pages: ETF Investment Fraud Whistleblower Rewards and Dark Pool Investment Fraud Whistleblower Rewards.
An exchange-traded fund (ETF) is an investment fund traded on stock exchanges, much like stocks. An ETF holds assets such as stocks, commodities, or bonds, and trades close to its net asset value over the course of the trading day. Most ETFs track an index, such as a stock index or bond index. Because ETFs are based on other investments and can sometimes be leveraged on a particular stock, industry, bond, or commodity, a small decline in the underlying investment can cause a very large loss in the ETF. For this reason, it is important for the investor to be able to trust their registered financial advisor, broker, fund manager, or investment company. When fraud is committed by a registered financial advisor, broker, fund manager, or investment company, it is extremely important to expose the fraud through a bounty action or direct lawsuit against a registered financial advisor, broker, fund manager, or investment company. For more information on ETF investments, please go to the following web page:
Dark pool investments are transacted in trading venues that differ from public exchanges because orders are not visible to other traders until they are executed. The lack of pre-trade price information is designed to help institutional investors trade large blocks of shares without the market moving against them. These dark pool investments are still susceptible to several types of securities fraud and can often be harder to detect because the orders are less visible. For more information on dark pool investment and a recent SEC action, please go to the following web page:
from Texas Bar Today http://ift.tt/1SYAvMz
via Abogado Aly Website