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SEC Investor Bulletin: Trading Suspension

The SEC issued a new Investor Bulletin which provides a detailed explanation of the procedures employed in suspending the trading of a stock. It is important for an informed investor to understand the rules which apply to the trading of stocks especially when participating in transactions which might involve what would be described as marginal companies. An informed investor would certainly want to understand the risks associated with such companies and the possibility that the trade of those companies might be suspended. If your stock broker of investment adviser has recommended such a transaction be sure to understand those risks before going forward.

The Securities Arbitration lawyers at Penzien & McBride, PLLC are always willing to review any investment losses that investors may have experienced while engaged in the trading of marginal securities. Contact us at (586) 690-4400 for a review of your situation.

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