Investor Bulletin: Please Consider Adding a Trusted Contact to Your Account

Mar 4, 2020
The SEC’s Office of Investor Education and Advocacy and the Financial Industry Regulatory Authority (FINRA) are issuing this Investor Bulletin to urge you to consider adding a “trusted contact person” to your brokerage account.

Look Out for Coronavirus-Related Investment Scams - Investor Alert

Feb 4, 2020
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about investment frauds involving claims that a company’s products or services will be used to help stop the coronavirus outbreak.

Initial Exchange Offerings (IEOs) – Investor Alert

Jan 14, 2020
The SEC’s Office of Investor Education and Advocacy is issuing this alert to urge investors to use caution before investing in so-called “initial exchange offerings” through online trading platforms.

Leveraged Loan Funds – Investor Bulletin

Nov 20, 2019
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors information about funds that invest in leveraged loans. As with any investment, we urge you to make sure you understand these products and their risks before investing.

Avoiding Investment Fraud in Your Faith-Based Community – Investor Alert

Nov 1, 2019
The SEC’s Office of Investor Education and Advocacy and the Retail Strategy Task Force are issuing this alert to help investors protect themselves and their communities from fraud targeting members of a shared faith.

Beware of Spoofed Websites Offering Phony Certificates of Deposit – Investor Alert

Oct 23, 2019
The SEC’s Office of Investor Education and Advocacy (OIEA) is issuing this Investor Alert to warn investors about phony Certificates of Deposit (CDs) promoted through internet advertising and “spoofed” websites – websites that mimic the actual sites of legitimate financial institutions. Investors should be extremely cautious when purchasing CDs from sites found only through internet searches.

Don’t Fall for an Investment Scam – Investor Alert

Oct 9, 2019
The SEC’s Office of Investor Education and Advocacy (OIEA) and Retail Strategy Task Force (RSTF) want Main Street investors to be aware of tactics fraudsters use to lure investors into scams. This Alert presents actual videos that defendants in SEC enforcement actions allegedly used as part of their investment frauds.

Don’t Buy Into an Investment Scam – Investor Alert

Oct 9, 2019
The SEC’s Office of Investor Education and Advocacy (OIEA) and Retail Strategy Task Force (RSTF) urge investors to look for red flags of fraud before paying for investments by credit card or wire transfer.

Three Tips for World Investor Week 2019: Investor Bulletin

Oct 1, 2019
The SEC’s Office of Investor Education and Advocacy, the Commodity Futures Trading Commission (CFTC), the North American Securities Administrators Association (NASAA), and the Financial Industry Regulatory Authority (FINRA) are issuing this Investor Bulletin to highlight key messages from World Investor Week 2019, a global campaign to raise awareness about the importance of investor education and protection. From October 1-7, 2019, investors, investment professionals, teachers, parents, researchers, and others are encouraged to make a special effort to promote investor education. Here are a…

Watch Out for Scammers Posing as SEC Employees – Investor Alert

Sep 19, 2019
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors that fraudsters sometimes pose as SEC employees. Do not send money, or personal information, to anyone claiming to be from the SEC without verifying their identity using the steps described in this Alert.