Ep. 3 - Raising Capital and Burning Cash, The Unethical Way

Course Description 

In Episode 3 of The FraudQast, Dawn’s bold new business strategy, with questionable ethics and blurred lines of legality, advising investment clients that they should invest in her own private online lifestyle brand, starts to take shape. After many months of showcasing her professional financial acumen via her radio show, new clients start rolling in, covering the debt she’s accumulated. Although she presents great optimism over her new business “opportunity”, the legitimacy of the business puts into question whether Dawn had intentions of actually adding value to any of her clients at all, especially as she neglects the downfall of her financial advising business.

Learning Objectives

• Recognize investment tricks and techniques that financial advisors may attempt to use to persuade clients to invest with them
• Recall FINRA’s mission and guidelines regarding advising clients on investments
• Define financing instruments, such as debt or equity, that start-ups use to raise capital for their business

Course Instructions

To complete this course, you must complete each lesson, including watching video content, reading provided articles, answering knowledge check questions, and completing the final assessment. A minimum passing grade of at least 70% is required to complete the assessment.

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This course will expire 12 months from the registration date. 

Additional Details