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Preventing and reporting fraud

All issuers are subject to anti-fraud provisions of the Securities Regulations. Fraud Detection and Reporting – The Office of Fraud Detection and Market Intelligence (OFDMI) centralizes FINRA’s review of allegations of serious fraud and significant investor harm, and serves as a central point of contact, both internally and externally, on fraud-related issues. Investors suspecting potential fraud should notify IOICM Compliance and FINRA OFDMI of their concerns.

 

https://www.finra.org/industry/office-whistleblower