Natural Disasters and Investment Scams – Investor Alert

Oct 22, 2024
The SEC’s Office of Investor Education and Advocacy (OIEA) urges investors to be on the lookout for investment scams related to natural disasters, including recent hurricanes Helene and Milton. Fraudsters often seek to use disasters and other events, such as hurricanes, floods, oil spills, and wildfires, to lure victims into investment scams. These frauds may directly target individuals receiving money from insurance companies or other sources.
CategoryEnforcement

Technology and Digital Finance: World Investor Week 2024 — Investor Bulletin

Oct 7, 2024
The SEC’s Office of Investor Education and Advocacy (OIEA), the Commodity Futures Trading Commission’s (CFTC’s) Office of Customer Education and Outreach, the Financial Industry Regulatory Authority (FINRA), the North American Securities Administrators Association (NASAA), the National Futures Association (NFA), and the Securities Investor Protection Corporation (SIPC) are issuing this Investor Bulletin to provide investors with information for World Investor Week 2024, a global campaign promoted by the International Organization of Securities Commissions (IOSCO) to raise awareness about…
CategoryCorporation Finance
Enforcement
Investment Management
Trading and Markets

Social Media and Stock Tip Scams – Investor Alert

Sep 30, 2024
The SEC’s Office of Investor Education and Advocacy (OIEA) warns investors that scams involving stock recommendations may be conducted through social media. Never make investment decisions based solely on information from social media platforms or apps.
CategoryEnforcement

Protect Your Thrift Savings Plan (TSP) Account From Fraud -- Investor Alert

Sep 26, 2024
The SEC’s Office of Investor Education and Advocacy (OIEA) is providing tips for investors in the Thrift Savings Plan to help protect against fraud.
CategoryEnforcement

Relationship Investment Scams – Investor Alert

Sep 10, 2024
The SEC’s Office of Investor Education and Advocacy (OIEA), the Commodity Futures Trading Commission’s Office of Customer Education and Outreach (OCEO), the Financial Industry Regulatory Authority (FINRA), and the North American Securities Administrators Association (NASAA) are issuing this Investor Alert to warn investors about relationship investment scams.
CategoryEnforcement

Investor Bulletin: How Victims of Securities Law Violations May Recover Money

Aug 14, 2024
The SEC’s Office of Investor Education and Advocacy (OIEA) is issuing this Investor Bulletin to inform investors about how they may be able to recover money if they have been harmed by a violation of the federal securities laws.
CategoryEnforcement

Pre-IPO Investment Scams – Investor Alert

Jun 7, 2024
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.
CategoryEnforcement

5 Ways Fraudsters May Lure Victims Into Scams Involving Crypto Asset Securities – Investor Alert

May 29, 2024
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert because fraudsters continue to exploit the popularity of crypto assets to lure retail investors into scams. Crypto assets may include assets commonly referred to as cryptocurrencies, crypto, coins, and tokens.
CategoryEnforcement

Investment Scams Involving Fake Form 4 Filings: Updated Investor Alert

Mar 15, 2024
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about potential investment schemes in which fraudsters send fake Forms 4 to investors who paid for the purported purchase of shares.
CategoryEnforcement

Spotting and Reporting Investment Scams Targeting Older Investors

Feb 5, 2024
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help law enforcement professionals and others identify if an older investor has been a victim of investment fraud, and to explain how to report it to appropriate authorities. First, identify whether there may be investment fraud. Here are some tell-tale signs:
CategoryEnforcement

Artificial Intelligence (AI) and Investment Fraud: Investor Alert

Jan 25, 2024
The Securities and Exchange Commission (SEC) Office of Investor Education and Advocacy, the North American Securities Administrators Association (NASAA), and the Financial Industry Regulatory Authority (FINRA) are jointly issuing this Investor Alert to make investors aware of the increase of investment frauds involving the purported use of artificial intelligence (AI) and other emerging technologies. Individual investors should know that bad actors are using the growing popularity and complexity of AI to lure victims into scams.
CategoryEnforcement

Making the Most of Military Benefits and Lump Sum Payments: Investor Bulletin

Nov 6, 2023
Service members or dependents may receive one-time lump sum payments for injuries, loss of life, insurance, or lawsuit proceeds. These payments can replace lost future income, so it’s important to take steps to ensure they provide a long-term benefit for your family, such as by reducing debt or bolstering savings and investments.
CategoryEnforcement

Investor Resilience, Crypto Assets, and Sustainable Finance: World Investor Week 2023 — Investor Bulletin

Sep 29, 2023
The SEC’s Office of Investor Education and Advocacy (OIEA), the Financial Industry Regulatory Authority (FINRA), the Commodity Futures Trading Commission (CFTC), the National Futures Association (NFA), the Securities Investor Protection Corporation (SIPC), and the North American Securities Administrators Association (NASAA) are issuing this Investor Bulletin to provide investors with information about the three themes of World Investor Week 2023, a global campaign promoted by the International Organization of Securities Commissions (IOSCO) to raise awareness about the importance of investor…
CategoryEnforcement
Investment Management
Trading and Markets

Natural Disasters and Investment Scams – Investor Alert

Aug 16, 2023
The SEC’s Office of Investor Education and Advocacy (OIEA) urges investors to be on the lookout for scams related to the recent Hawaii wildfires. Bad actors may use natural disasters, including the recent Hawaii wildfires, to lure victims into investment scams.  These frauds may directly target individuals receiving money from insurance companies or other sources.  They can take many forms.
CategoryEnforcement

Exercise Caution with Crypto Asset Securities: Investor Alert

Mar 23, 2023
The SEC’s Office of Investor Education and Advocacy continues to urge investors to be cautious if considering an investment involving crypto asset securities. Investments in crypto asset securities can be exceptionally volatile and speculative, and the platforms where investors buy, sell, borrow, or lend these securities may lack important protections for investors.
CategoryEnforcement

Look Out for High-Yield Investment Program Scams -- Investor Alert

Mar 15, 2023
The SEC’s Office of Investor Education and Advocacy warns investors that websites promoting High-Yield Investment Programs are likely scams.
CategoryEnforcement

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

Feb 7, 2023
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors of risks associated with self-directed Individual Retirement Accounts (self-directed IRAs).  Self-directed IRAs allow investment in a broader—and potentially riskier—portfolio of assets than other types of IRAs.  While a broader set of investment options may have appeal, investors should be mindful that investments in self-directed IRAs raise risks including fraudulent schemes, high fees, and volatile performance.
CategoryEnforcement

Investor Alert: Identity Theft, Data Breaches and Your Investment Accounts

Nov 17, 2022
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to provide investors with important steps to take regarding their investment accounts if they become victims of identity theft or a data breach.
CategoryEnforcement
Trading and Markets

Investor Resilience – World Investor Week 2022: Investor Bulletin

Oct 3, 2022
For World Investor Week 2022, investors, investment professionals, teachers, parents, researchers, and others are encouraged to make a special effort to promote investor resilience and sustainable finance.
CategoryCorporation Finance
Enforcement
Investment Management
Trading and Markets

Social Media and Investment Fraud – Investor Alert

Aug 29, 2022
Fraudsters often use social media to scam investors.  The SEC’s Office of Investor Education and Advocacy encourages you to be skeptical and never make investment decisions based solely on information from social media platforms or apps.
CategoryEnforcement

Tips for Teachers: Investing for Retirement -- Updated Investor Bulletin

Jul 18, 2022
As a teacher, you have a number of choices to make when investing for retirement.
CategoryCorporation Finance
Enforcement
Investment Management
Trading and Markets

Watch Out for Fake COVID-19 Claims When Investing -- Investor Alert

May 31, 2022
Investors should be aware that false statements may be made -- including in company press releases, promotional materials, and social media posts -- about a company offering or developing products that prevent, detect, or treat COVID-19, in order to inflate the value of a company’s stock.  Fraudulent stock promotions of these companies also may be made through “research reports” that make predictions of a specific “target price.”  Never invest in a company based solely on information in a press release or stock promotion.
CategoryEnforcement

Investor Bulletin – Top 10 Investment Tips for College Students

May 4, 2022
One of the best ways to build wealth is by saving and investing over a long period of time. The earlier you start, the easier it is for your money to grow. Opening your first investment account is a key step in beginning your investment journey. As a college student, you may receive offers to open an investment account. These offers could come from your bank, from someone you or your family know, or even at a campus coffee shop. They also can include incentives, like free stock or cash to invest, as a way to entice you to sign up.
CategoryEnforcement
Trading and Markets

Investor Bulletin: Crypto Asset Interest-bearing Accounts

Feb 14, 2022
The SEC’s Office of Investor Education and Advocacy and the Division of Enforcement’s Retail Strategy Task Force are issuing this Investor Bulletin to educate investors about risks with accounts that pay interest on crypto asset deposits.
CategoryCorporation Finance
Enforcement
Trading and Markets

Investor Bulletin: Trading Suspensions

Dec 14, 2021
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about the SEC’s rules and regulations related to trading suspensions. The federal securities laws generally allow the SEC to suspend trading in any stock for up to ten business days. This bulletin answers some of the typical questions we receive from investors about trading suspensions. A list of companies whose stock is currently subject to an SEC trading suspension, or which previously has been subject to an SEC trading suspension, may be found here.
CategoryEnforcement
Trading and Markets