Protect Your Investments

Research Your Investment

Do your “due diligence” by researching before you invest. Companies, bond issuers, mutual funds, and ETFs must regularly provide information to the public. Carefully review these disclosures, which are available for free on EDGAR and can help you decide if an investment is right for you.

Search the Database - It's a great first step toward protecting your money. Learn about an investment professional's background, registration status, and more.

Research Your Investment Professional

Never invest your money with someone who is not licensed and registered. If you choose to work with an investment professional, start by learning about the investment professional’s background, registration status, and any disciplinary history.

Note: I can make the main title of the box a clickable link.

Know the Fees You’re Paying

As with anything you buy, there are fees and costs that come with investments. These fees may seem small, but over time they can have a major impact on your investment portfolio.

Beware of Investment Scams

Learn the red flags of investment scams. A few minutes of your time may save you from handing over your money to fraudsters.

Monitor Your Accounts

Monitor your investment accounts for any suspicious activity. You should confirm that you authorized all of the transactions that appear in your account statements and trade confirmations. Also, look out for any changes to your account information that you do not recognize (e.g., a change to your address, phone number, e-mail address, account number, or bank information).

Where can I go for help?

If you have a question or concern about an investment, or you think you have encountered fraud, contact the organizations below or your state securities regulator.

U.S. Securities and Exchange Commission (SEC)

Office of Investor Education and Advocacy

Financial Industry Regulatory Authority (FINRA)

FINRA Complaints and Tips

North American Securities Administrators Associations (NASAA)