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Investor Alerts

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.Read more

Investor Alert: Binary Options and Fraud

06/06/2013

The SEC’s Office of Investor Education and Advocacy and the Commodity Futures Trading Commission’s Office of Consumer Outreach (CFTC) are issuing this Investor Alert to warn investors about fraudulent promotion schemes involving binary options and binary options trading platforms. These schemes allegedly involve, among other things, the refusal to credit customer accounts or reimburse funds to customers, identity theft, and manipulation of software to generate losing trades.Read more

View Document: English (pdf)

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