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Investor Alerts

Investor Alert: SEC Warns of Fake Correspondence

10/03/2013

The U.S. Securities and Exchange Commission's (SEC) Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about fraudulent solicitations using correspondence claiming to be from SEC staff and Commissioners (including phony letters using the SEC seal and purporting to be signed by Commissioner Daniel Gallagher).

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Investor Alert: Investment Scams Exploit Immigrant Investor Program

10/01/2013

The U.S. Securities and Exchange Commission's Office of Investor Education and Advocacy and U.S. Citizenship and Immigration Services are jointly issuing this Investor Alert to warn individual investors about fraudulent investment scams that exploit the Immigrant Investor Program, also known as "EB-5."

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Investor Alert: Advertising for Unregistered Securities Offerings

09/23/2013
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Investor Alert: Ponzi Schemes Using Virtual Currencies

07/23/2013

The SEC’s Office of Investor Education and Advocacy is issuing this investor alert to warn individual investors about fraudulent investment schemes that may involve Bitcoin and other virtual currencies.

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Investor Alert:  Beware Investment Offers Implying SEC Endorsement

06/24/2013
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Investor Alert—Don’t Trade on Pump-And-Dump Stock Emails

06/12/2013

FINRA and the SEC’s Office of Investor Education and Advocacy are issuing this Investor Alert to warn investors to be on the lookout for email spam promoting “pump-and-dump” stock scams.

Email stock spamming is back in high gear.  The latest McAfee Threats Report confirms a steep rise in spam email linked to bogus “pump-and-dump” stock schemes designed to trick unsuspecting investors.

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Investor Alert: Binary Options and Fraud

06/06/2013
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Investor Alert: SEC Warns of Bogus Securities Regulators Soliciting Investors

05/30/2013

Securities and Exchange Commission staff is issuing this Investor Alert in response to a number of fraudulent solicitations currently underway that purport to be affiliated with or sponsored by the federal government and legitimate securities regulators.

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Investor Alert: Private Oil and Gas Offerings

05/02/2013

The SEC's Office of Investor Education and Advocacy is issuing this alert to educate individual investors about certain risks and possible fraudulent activity involving private offerings of securities for oil and gas ventures.

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Updated Investor Alert: SEC Warns of Government Impersonators

04/16/2013

SEC staff is issuing this updated Investor Alert because we are aware of continuing fraudulent solicitations that purport to be affiliated with or sponsored by the Securities and Exchange Commission (including a recent bogus email scam using the name of Lori Schock, Director of the SEC’s Office of Investor Education and Advocacy).

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