Series 63: 4.5.1. Common Categories Of Investment Advisory Fraud

Taken from our Series 63 Online Guide

4.5.1. Common Categories of Investment Advisory Fraud

Fraud is an exceptionally broad concept that may show up in any part of a securities professional’s business. To avoid committing fraud, securities professionals and firms must remain honest in their dealings with clients and the public. Some common types of investment advisory fraud that have been prosecuted by the SEC are listed next (taken from an academic paper by Dimmi and Gerkin). These include:

• Direct theft. The adviser steals directly from clients and hides it with fal

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: 4.5.1. Common Categories Of Investment Advisory Fraud, you might also be interested in:

Series 52 - Chapter 4 Practice Question Answers

Series 53 - 6.5. Understanding Yield

Series 24 - Office of Supervisory Jurisdiction

Series 82 - Classes of Preferred Stock

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I used Solomon Exam Prep for both the 6 and the 63 and passed both of them on the first try. For the Series 6 I scored a 92 and for the Series 63 I scored a 75. The book was very insightful and helped quite a bit with passing, so thank you to your company.

Austin Kurey, Denver, CO

I have passed the Series 6, 63, and 26 on my first tries, all with the excellent training offered by Solomon. I'll never use another platform for my material.

Jodee Hempel, Woodmen Financial Services. Omaha, NE

I LOVED your exam books; passed 6 and 63 with flying colors.

Arthur Bracco, New York, NY

I just wanted to say thank you! Thank you! Thank you! I had taken the 63 and failed and was quite discouraged. I happened to come across your book and iPhone app and I just passed [the Series 63] yesterday with an 83 ... a 15 pt difference than the last time I took it. I can not recommend your materials enough!

Julia Smith, RBC Wealth Management

I've been using Solomon Exam Preparation materials for my last four Series tests: the Series 82, Series 63, Series 79 and just recently the Series 7. My scores on these tests were 88, 90, 88 and 90. The Solomon texts were comprehensive and easy to read; everything you need to know is in there. But there is so much material that these exams cover that you have to read the texts several times over and take as many practice quizzes and tests as you can until you score in the mid 80's. Then go in for the test. That's what I did. I went in scoring in the mid 80's on practice exams and "peaked" at higher scores while taking the actual tests. You can't do any better than Solomon. I highly recommend them.

Michael McGregor, FOCUS Investment Banking, Charlotte, NC

Previously I used another prep company for the Series 63 and did not pass. Second time around I used Solomon and passed! What's more, I felt much more confident from taking the practice exams and working towards a higher and higher probability rate of passing. Thank you Solomon! I'll definitely use you again with any future security exams.

Max Thomas, Finalis / Evalla Advisors LLC. Los Angeles, CA