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Investor Alerts

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). However, if identity theft or a data breach compromises your personal financial information, here are some important steps to take immediately.Read more

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. Read more

Investor Alert: Fraudulent Stock Promotions

07/29/2015

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about fraudsters who promote a stock to drive up the stock price and then sell their own shares at the inflated price, making money at investors’ expense.Read more

Investor Alert: Beware of Fantasy Stock Trading Websites Offering Real Returns

06/17/2015

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about fantasy stock trading and other similar websites that may violate federal securities laws designed to protect investors from abuses in the swaps market.Read more

Investor Alert: Beware of False or Exaggerated Credentials

06/03/2015

The SEC’s Office of Investor Education and Advocacy (OIEA) is issuing this Investor Alert to warn investors that fraudsters may misrepresent their backgrounds and experience to lure investors into investment schemes. Before investing, investors should verify that any person who tries to sell them an investment product or service is properly licensed or registered and should not make investment decisions based solely on assertions regarding the person’s credentials or professional experience, including claims found on the Internet or in traditional media sources.Read more