Recent Alerts and Bulletins
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Beware of Communications Falsely Appearing to Come from the SEC
If you have been contacted by the SEC, confirm that the communication is authentic by contacting SEC staff directly.
Submit Questions and Complaints
Ask a question or report a problem concerning your investments, your investment account or a financial professional.
Red Flags of Fraud
Researchers have found that investment fraudsters hit their targets with an array of persuasion techniques that are tailored to the victim's psychological profile. Protect your investments by watching out for these red flags:
- It sounds too good to be true
- "Guaranteed returns"(they don't exist)
- The "halo" effect, which makes con artists seem likable or trustworthy
- "Everyone is buying it" pitches
- Pressure to send money right now
- Small favors (free lunch or workshop)
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