Securities fraud is nothing new, which is why companies are constantly on the alert to identify and reduce risk for fraud, with the goal of eventually prosecuting those involved in these crimes. However, to avoid being left vulnerable to criminal activity, organizations must focus on preventative measures.

Over the course of the last year, as many stayed home in lockdown, do-it-yourself trading became some homebound professionals’ favorite hobby. Markets have become flooded with amateur investors—a report by FINRA found that more than 1.9 trillion over-the-counter transactions took place in February of this year alone, an increase of more than 2,000 percent from the year prior.