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SEC counsel outlines how investors can spot scams and report suspected securities violations
Summary
Tom Manganiello of the U.S. Securities and Exchange Commission told listeners on Fairfax County’s Consumer Connection that investors should set goals, vet advisers, watch for red flags including AI-enabled impersonation, and use the SEC’s online form to report suspected securities-law violations.
Susan Jones, branch manager with Fairfax County Consumer Affairs, hosted a Consumer Connection episode featuring Tom Manganiello, senior counsel in the U.S. Securities and Exchange Commission's Office of Investor Education and Assistance. Manganiello summarized the SEC’s investor-protection mission and reviewed steps listeners can take to reduce their risk of investment fraud.
Manganiello said the SEC’s role includes protecting investors, maintaining fair and orderly markets and facilitating capital formation, and he noted the agency produces educational materials and tools such as investor.gov. “The views I express are my own, not necessarily the views of the Securities and Exchange Commission, its commissioners, or employees,” he told the program, adding the discussion did not represent official SEC policy or legal or investment advice.
Why it matters: Manganiello…
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