The story deals with the question of being cautious when dealing with investment advisers. Emshwiller says: "[...] the number of novice investors [...] has never been greater. And the fact that they know little makes them the ideal targets for scams." Although there are rules saying investment advisers must be registered, there are many people who work as such without registration. In this respect, the Securities and Exchange Commission and the states "try to catch wrongdoing by auditing investment advisers." Emshwiller adds the ideal thing to do id to interview at least two candidates when choosing a financial adviser, and not to rely on old friendships or word-of-mouth.
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