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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. If you are contacted by an organization calling itself the "Chicago Division of Securities," the "Division of Securities, Chicago Illinois," the "Federal Division of Securities, New York" or the "New York Securities Division," be aware that they are not affiliated with the Securities and Exchange Commission and are not legitimate securities regulators. They are scams.Read more

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.Read more

View Document: English (pdf)

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).Read more

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).Read more

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.Read more