Don’t be Fooled by Fraudsters Offering “Charitable” Investments -- Investor Alert
Sep 17, 2019
The SEC’s Office of Investor Education and Advocacy (OIEA) warns investors not to fall for investment scams claiming to help charitable causes. Supporting a good cause while investing your money may sound like a win-win situation. But be aware that fraudsters may try to exploit your desire to help others by using charitable causes as a way to draw victims into investment scams.
CategoryEnforcement
Investor Bulletin: Seven Ways to Use Investor.gov
Sep 3, 2019
Investor.gov is the SEC’s website for Main Street investors, designed to help you better understand investing. Use the informative tools and resources on Investor.gov to make a plan, learn important questions to ask, and get tips to avoid investment fraud.
Category
Saving and Investing for Military Personnel
Jul 18, 2019
The SEC’s Office of Investor Education and Advocacy is issuing this updated Investor Bulletin to help military personnel make informed savings and investing decisions and avoid common scams. Here are ten suggestions that can help you understand the basics and protect your hard-earned money.For more, check out Investor.gov/military.
Category
Investor Alert: Have Something in Common with Someone Selling an Investment? It May Make You a Target for Fraud.
Jul 15, 2019
The SEC’s Office of Investor Education and Advocacy (OIEA) and the Division of Enforcement’s Retail Strategy Task Force warn investors not to make investment decisions based solely on common ties with someone recommending or selling the investment.
CategoryEnforcement
Investor Bulletin: How to Select an Investment Professional
Jul 1, 2019
Choosing an investment professional is an important decision. This updated Investor Bulletin provides a few key tips to help you make a well-informed choice. A number of questions you should consider asking before you hire an investment professional are in our investor bulletin “Questions to Ask When Hiring an Investment Professional.” Should you have any questions for us, feel free to call our toll-free investor assistance line at 1-800-SEC-0330 or use our online question web form at https://www.sec.gov/oiea/QuestionsAndComments.html.
Category
Investor Bulletin: Questions to Ask when Hiring an Investment Professional
Jun 27, 2019
Before investing in stock or other securities, you may decide to seek the help of an investment professional. Selecting this investment professional is an important decision. This Investor Bulletin provides you with questions you should ask before hiring any investment professional.
CategoryTrading and Markets
Updated Investor Bulletin: How Fees and Expenses Affect Your Investment Portfolio
Jun 26, 2019
The SEC’s Office of Investor Education and Advocacy is issuing this updated bulletin to educate investors about how fees you pay for investment services and products can impact the value of your portfolio.
Category
Updated Investor Bulletin: How to Check Out Your Investment Professional
May 29, 2019
The SEC’s Office of Investor Education and Advocacy is issuing this investor bulletin to explain how to check out an investment professional’s registration status and background.
Category
Investor Alert: Beware of Claims That the SEC Has Approved Offerings
Apr 30, 2019
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors of misrepresentations about SEC “approvals” of offerings.
CategoryEnforcement
Investor Alert: Watch Out for Fraudulent Digital Asset and “Crypto” Trading Websites
Apr 24, 2019
The SEC’s Office of Investor Education and Advocacy (OIEA) and the Commodity Futures Trading Commission’s Office of Customer Education and Outreach (CFTC) warn investors to scrutinize investment opportunities through websites purporting to operate advisory and trading businesses related to digital assets. These websites often contain “red flags” of fraud including claims of high guaranteed returns and promises that the investments carry little or even no risk.
CategoryEnforcement
Investor Bulletin: Social Sentiment Investing Tools —Think Twice Before Trading Based on Social Media
Apr 3, 2019
The SEC’s Office of Investor Education and Advocacy and the Financial Industry Regulatory Authority (FINRA) are issuing this Investor Bulletin to inform investors about social sentiment investing tools and highlight their risks. This Bulletin provides tips to consider before using tools that analyze or aggregate information from social media sources to make investment decisions or attempt to predict changes in the stock market’s direction or in the price of a security.
Category
Investor Bulletin: The Escheatment Process
Mar 12, 2019
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide basic information about the escheatment process for investment accounts.
Category
Investor Bulletin: Trading Suspensions – What Happens When They End?
Mar 4, 2019
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to answer some of the questions we receive from investors about what happens at the end of a trading suspension.
CategoryTrading and Markets
Investor Bulletin: 10 Investment Tips for 2019
Feb 12, 2019
Whether you are a first-time investor or have been investing for years, here are 10 tips from the SEC’s Office of Investor Education and Advocacy to help you in 2019.
Category
Investor Alert: Scammers May Try to Take Advantage of the California Wildfires
Nov 29, 2018
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors, including individuals who may receive lump sum payouts from insurance companies and others as a result of damage from the California wildfires, about fraudulent investment scams.
CategoryEnforcement
Investor Bulletin: Variable Life Insurance
Oct 30, 2018
The SEC's Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about variable life insurance and how it works. This bulletin provides a general description of variable life insurance. The features of each policy may vary by product and by state.
CategoryInvestment Management
Updated Investor Bulletin: Variable Annuities
Oct 30, 2018
The SEC's Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about variable annuities and how they work.
Category
Investor Alert: Be Vigilant for Investment Scams Related to Recent Hurricanes
Oct 29, 2018
The SEC's Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors, including individuals who may receive lump sum payouts from insurance companies and others as a result of damage from recent hurricanes, about fraudulent investment scams.
CategoryEnforcement
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.
Category
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.
Category
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