Market Manipulation and Investor Protection
Affinity Fraud
Affinity fraud targets members of a shared community—religious, ethnic, professional, or social—using trust inside the group.
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Market Manipulation and Investor Protection Terms
Pump-and-dump, Ponzi schemes, fake trading platforms, insider trading concepts, advisers, and SIPC-style protection vocabulary.
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35 published definitions in this topic.
Market Manipulation and Investor Protection
AI Trading Scam
An AI trading scam markets automated “AI bots” or algorithms that supposedly generate guaranteed trading profits.
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Boiler Room
A boiler room is a high-pressure sales operation that cold-calls or messages people to push speculative or fraudulent investments.
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BrokerCheck
BrokerCheck is FINRA’s free public tool for researching the backgrounds of brokers, brokerage firms, and some investment adviser representatives.
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Churning
Churning is excessive trading in a customer account primarily to generate commissions rather than to meet the customer’s objectives.
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Deepfake Investment Promotion
Deepfake investment promotion uses synthetic video or audio of celebrities or officials to endorse fraudulent investment offers.
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Exit Scam Trading Platform
An exit scam trading platform accepts deposits and later disappears or permanently blocks withdrawals after a period of fake activity.
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Fiduciary Duty
Fiduciary duty is an obligation to act in a client’s best interest with care and loyalty, applied to many investment advisers under U.S. law.
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Finfluencer Scheme
A finfluencer scheme uses social-media finance personalities to promote investments that are misleading, undisclosed-paid, or fraudulent.
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Form ADV
Form ADV is the registration and disclosure form investment advisers file, describing business, fees, conflicts, and disciplinary history.
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Guaranteed Return Claim
A guaranteed return claim promises fixed or high profits with little or no risk—often a hallmark of investment fraud.
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High-Yield Investment Program
A high-yield investment program is typically an unregistered online scheme promising unrealistically high returns and frequently operating as a scam.
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Insider Trading
Insider trading generally means trading securities based on material nonpublic information in breach of a duty, or tipping others who trade.
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Investment Adviser
An investment adviser is a person or firm that provides advice about securities for compensation, often subject to registration and fiduciary standards.
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Investment Fraud
Investment fraud is deceptive solicitation or operation of an investment opportunity that misleads investors about risks, returns, or use of funds.
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Market Manipulation
Market manipulation is intentional conduct that artificially affects the supply, demand, or price of a security or commodity.
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Material Nonpublic Information
Material nonpublic information is non-disclosed information a reasonable investor would likely consider important in making a trading decision.
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Microcap Fraud
Microcap fraud is deceptive trading or promotion involving very small publicly quoted companies with limited disclosure and liquidity.
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Offshore Clone Broker
An offshore clone broker copies the name and branding of a real firm while operating from unreachable jurisdictions to take deposits.
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Paid Stock Promotion
Paid stock promotion is compensated publicity for a stock that may omit or bury the payment relationship.
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Ponzi Scheme
A Ponzi scheme pays earlier investors with money from newer investors rather than legitimate profits, collapsing when recruitment slows.
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Pump-and-Dump Scheme
A pump-and-dump scheme inflates a security’s price through hype, then promoters sell into the rise, leaving later buyers with losses.
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Pyramid Scheme
A pyramid scheme rewards recruiting participants more than selling real products or services to end users, and is illegal in many jurisdictions.
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Registered Investment Adviser
A registered investment adviser is an investment adviser registered with the SEC or a state securities authority, as applicable.
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Regulation Best Interest
Regulation Best Interest is a U.S. SEC rule requiring broker-dealers to act in retail customers’ best interest when making securities recommendations.
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Securities Fraud
Securities fraud is deception in connection with the offer, purchase, or sale of securities in violation of securities laws.
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Securities Investor Protection Corporation
The Securities Investor Protection Corporation is a U.S. nonprofit that helps return missing cash and securities when a member brokerage fails.
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Senior Investor Exploitation
Senior investor exploitation is financial abuse or fraud targeting older adults through investments, account access, or trusted-person deception.
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SIPC Protection
SIPC protection refers to the limited restoration of missing customer cash and securities in a SIPC-member broker liquidation, not insurance against investment losses.
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Spoofing
Spoofing is placing orders intended to cancel before execution to manipulate perceived supply or demand.
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Telegram Trading Scam
A Telegram trading scam uses chat groups to pitch signals, VIP rooms, or brokers that funnel victims into fraudulent investments.
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Unauthorized Trading
Unauthorized trading is the execution of transactions in a customer account without required authorization.
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Unlicensed Broker
An unlicensed broker solicits securities business without required registration or licensing in the relevant jurisdiction.
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Unregistered Investment Adviser
An unregistered investment adviser provides investment advice for compensation without required registration where registration is mandated.
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Unsolicited Investment Pitch
An unsolicited investment pitch is an unexpected outreach promoting an investment opportunity, frequently via cold call, DM, or email.
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