Investor Alert: Watch Out For False Claims About SEC And CFTC Endorsements Used To Promote Digital Asset Investments

Oct 11, 2018
The SEC’s Office of Investor Education and Advocacy (OIEA) and the Commodity Futures Trading Commission’s (CFTC) Office of Customer Education and Outreach warn investors to watch out for false claims about agency actions and endorsements related to digital assets.  Fraudsters may use false claims to lure investors into purchasing digital assets and to artificially raise their value. “Digital assets” include crypto-currencies, coins, and tokens such as those offered in so called initial coin offerings (ICOs).
CategoryEnforcement

Investor Bulletin: World Investor Week 2018

Oct 1, 2018
The SEC’s Office of Investor Education and Advocacy, FINRA, the Commodity Futures Trading Commission (CFTC), and the North American Securities Administrators Association (NASAA) are issuing this Investor Bulletin to highlight key messages from World Investor Week 2018. 
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Investor Alert: Don’t Invite Investment Scams to Find You

Sep 27, 2018
The SEC’s Office of Investor Education and Advocacy (OIEA) and Retail Strategy Task Force (RSTF) warn investors that providing your phone number and email address in response to an online investment promotion may make you a target for fraud.
CategoryEnforcement

Investor Alert: When Engaging With the SEC on Social Media, Use Our Verified Accounts and Be Alert for Impersonators

Sep 7, 2018
The SEC’s Office of Investor Education and Advocacy (OIEA) is alerting investors to the risk that bad actors have sought to impersonate SEC personnel on social media. Please do not just assume you are dealing with the SEC on social media.  Take a few steps to ensure that you’re not dealing with an imposter.
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Investor Alert: Marijuana Investments and Fraud

Sep 5, 2018
Scam artists often exploit “hot” industries to trick investors, including by making false promises of high returns with low risks. The SEC’s Office of Investor Education and Advocacy (OIEA) and Retail Strategy Task Force are warning investors about these kinds of investment schemes involving marijuana-related companies.
CategoryEnforcement

Investor Alert: Check the Background of Anyone Selling You an Investment

Aug 14, 2018
The SEC’s Office of Investor Education and Advocacy (OIEA) urges investors to check the background of anyone selling or offering them an investment.  No matter how good an investment may sound, verify that the person is currently registered or licensed and check his or her background by using the free and simple search tool on Investor.gov.
CategoryEnforcement

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

Aug 8, 2018
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 Bulletin: Index Funds

Aug 6, 2018
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors basic information about index funds.
CategoryInvestment Management

Investor Bulletin: Smart Beta, Quant Funds and other Non- Traditional Index Funds

Aug 6, 2018
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to inform investors about features and potential risks of non-traditional index funds.
CategoryInvestment Management

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

Jun 21, 2018
The SEC’s Office of Investor Education and Advocacy (OIEA) is informing investors about how they may be able to recover money if they have been harmed by a violation of the federal securities laws.
CategoryEnforcement