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Investor Alerts

Updated Investor Alert: Social Media and Investing - Avoiding Fraud

11/12/2014

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help investors be better aware of fraudulent investment schemes that may involve social media. U.S. retail investors are increasingly turning to social media, including Facebook, YouTube, Twitter, LinkedIn and other online networks for information about investing.

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Investor Alert: Zika Crisis May Give Rise to Investment Scams

03/09/2016

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about potential investment scams involving companies that claim their products or services relate to the Zika virus.

Investment scam artists often exploit the latest crisis to line their own pockets and Zika is no exception.  The SEC staff is aware of increased stock promotion of companies that claim to be developing products or services relating to the Zika virus.

Beware of Zika-Related Investment Scams

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Investor Alert: Beware of Government Impersonators Targeting Fraud Victims

03/09/2016

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.

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Updated Investor Alert: SEC Warns of Government Impersonators

02/09/2016

SEC staff is issuing this updated Investor Alert because we are aware of continuing fraudulent solicitations that purport to be affiliated with or sponsored by the Securities and Exchange Commission, including scams that make phony claims of endorsement by senior officials at the SEC.

The SEC does not endorse investment offers, assist in the purchase or sale of securities, or participate in money transfers.  SEC staff will not, for example, contact individuals by telephone or email for purposes of:

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Investor Alert: Securities-Backed Lines of Credit

12/21/2015

An increasing number of securities firms are marketing and offering securities-backed lines of credit, or SBLOCs, to investors. SBLOCs can be a key revenue source for securities firms, especially in times of solid market returns and growing investment portfolios, when investors may feel more comfortable leveraging their assets. Firms market SBLOCs as a type of financing and liquidity strategy that can unlock the value of your investment portfolio.

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Updated Investor Alert: Social Media and Investing -- Stock Rumors

11/05/2015

The U.S. Securities and Exchange Commission’s (SEC) Office of Investor Education and Advocacy (“OIEA”) is issuing this Investor Alert to warn investors about fraudsters who may attempt to manipulate share prices by using social media to spread false or misleading information about stocks.

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Investor Alert: Be on the Lookout for Investment Scams Related to the Recent Historic Rain and Flooding

10/09/2015

The SEC's Office of Investor Education and Advocacy is issuing this Investor Alert to help educate investors, including individuals who may receive lump sum payouts from insurance companies and others following the recent historic rainfall and flooding in and around South Carolina, about investment fraud.

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Investor Alert: Investment-Related Radio Programs Used to Defraud

09/23/2015

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to provide investors with an overview of fraudulent schemes that may be carried out through radio programs.

Many people listen to radio programs that discuss investments.  Some of these programs address general topics, such as which types of stocks, bonds, or funds might make good investments.  Others may provide commentary and analysis about particular companies, investment products, or financial trends.

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

09/22/2015

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.  Investors should always take steps to safeguard their personal financial information (e.g., social security number, financial account numbers, phone number, e-mail address, or usernames and passwords for online financial accounts).

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Updated Investor Alert: SEC Warns of Government Impersonators Demanding Money

08/05/2015

SEC staff is issuing this updated Investor Alert because we are aware of fraudulent communications, including official looking documents such as bogus subpoenas, that purport to be from the Securities and Exchange Commission demanding money for fictitious securities law violations.  

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