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Investor Alerts

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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Updated Investor Alert: SEC Warns of Government Impersonators

11/29/2012

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, Commission staff, as well as particular Commissioners (including a recent bogus email scam using the name of Commissioner Daniel Gallagher).

The SEC does not endorse investment offers, assist in the purchase or sale of securities, or participate in money transfers.  SEC staff will not, for example, contact individuals by telephone or email for purposes of:

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Investor Alert: Be on the Lookout for Investment Scams Related to Hurricane Sandy

11/01/2012

The SEC's Office of Investor Education and Advocacy is issuing this Investor Alert to help educate investors, including individuals who may receive lump sum payouts from insurance companies and others following Hurricane Sandy, about investment fraud.

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Investor Alert: Pre-IPO Investment Scams (Updated)

04/24/2012

The SEC’s Office of Investor Education and Advocacy is issuing this updated Investor Alert to warn investors about investment scams that purport to offer investors the opportunity to buy pre-IPO shares of companies, including social media and technology companies such as Facebook and Twitter.  SEC staff is aware of a number of complaints and inquiries about these types of frauds, which may be promoted on social media and internet sites, by telephone, email, in person, or by other means.

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Investor Alert: SEC Warns of Government Impersonators

04/28/2010

SEC staff are aware of a number of ongoing investment scams in which con artists have used the names of real SEC employees to trick victims, including non-U.S. investors, into giving the fraudsters access to their brokerage accounts, revealing private information, and even sending the perpetrators money and other assets. Impersonation of U.S.

Updated Investor Alert: SEC Warns of Government Impersonators

02/22/2012

SEC staff is issuing this updated Investor Alert because they have seen a recent surge of complaints about a scheme where fraudsters posing as SEC employees call potential victims on the telephone and purport to offer them a large sum of money (in some cases, the amount of $450,000 is used) in return for depositing a smaller amount (for example, $1,500) into a specified account. Some of these solicitations may use the name of a legitimate company and refer prospective investors to an operating website.

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Investor Alert: Self-Directed IRAs and the Risk of Fraud

09/23/2011

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