Aug 9, 2016

Third party asset recovery companies solicit victims of scams, including investment frauds, with promises to file complaints with regulatory agencies and to help recover victims’ money for a fee. The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to urge investors and fraud victims to think carefully before paying money for asset recovery services that may be fruitless.

Aug 4, 2016

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors information about mutual fund classes.  This bulletin addresses some of the fees that may apply to certain common mutual fund classes, but please note that mutual funds may have other fees and expenses that you should take into account when making an investment decision.  For more information on mutual fund fees and expenses, read our Investor Bulletin: Mutual Fund Fees and Expenses.

Jul 18, 2016
Older Americans are often targets of investment fraud.  The SEC’s Office of Investor Education and Advocacy is issuing this Updated Investor Alert to help seniors identify signs that what is offered as an investment may actually be a fraud.  Below are five “red flags” seniors should look out for when making an investment decision.

Unregistered and Unlicensed Sellers.  Always check whether the person offering to sell you an investment is registered and licensed, even if you know him or her personally.  Unregistered and unlicensed p

Jul 14, 2016

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about some of the pros and cons of variable annuity buyout offers.  This bulletin will provide information to help you consider whether a buyout is right for you.

Jun 27, 2016

The SEC’s Office of Investor Education and Advocacy (OIEA) is issuing this Investor Alert because we are aware of communications, including official looking documents, that falsely claim to be issued by the Securities and Exchange Commission and seek money from investors who have already been victims of fraud.

Jun 24, 2016

Investment advisers provide a wide range of advisory services and play an important role in helping individuals and institutions make significant financial decisions. To allow clients and prospective clients to evaluate the risks associated with a particular investment adviser, its business practices, and its investment strategies, it is essential that clients and prospective clients have clear disclosure that they are likely to read and understand.  Part 2 of Form ADV requires investment advisers to provide new and prospective clients with a brochure and brochure supplements written in plain English. The requirements of Part 2 are designed to provide new and prospective clients with clearly written, meaningful current disclosure of the business practices, conflicts of interest, and background of the investment adviser firm and the firm’s employees who provide advice.

Jun 13, 2016

The SEC’s Office of Investor Education and Advocacy is issuing a series of three Investor Bulletins to help inform investors about key information in a prospectus. You should note, however, that a prospectus contains additional information that may assist investors in making an investment decision.

Jun 13, 2016

The SEC’s Office of Investor Education and Advocacy is issuing a series of three Investor Bulletins to help inform investors about key information in a prospectus. You should note, however, that a prospectus contains additional information that may assist investors in making an investment decision.

Jun 13, 2016

The SEC’s Office of Investor Education and Advocacy is issuing a series of three Investor Bulletins to help inform investors about key information in a prospectus. You should note, however, that a prospectus contains additional information that may assist investors in making an investment decision.

Mar 29, 2016

The SEC’s Office of Investor Education and Advocacy is issuing this Updated Investor Alert to warn investors about fraudsters who promote a stock to drive up the stock price and then sell their own shares at the inflated price, making money at investors’ expense.