Feb 6, 2025
… A Ponzi scheme is an investment fraud that pays existing investors with funds … warning signs: High returns with little or no risk. Every investment carries some degree of risk, and investment … more risk. Be highly suspicious of any “guaranteed” investment opportunity. Overly consistent returns. …
Feb 6, 2025
… complaints — and to bring enforcement actions — involving investment scams that purport to offer investors the … level. Fraudsters may use pre-IPO offerings to conduct investment scams. Common red flags in pre-IPO investment scams include unregistered investment …
Feb 6, 2025
… complex, sophisticated and official-sounding terms. The investment may be described as debentures, standby letters of … bank guarantees, an offshore trading program, a high-yield investment program, or some variation. To reassure investors, … tip-off. Prime Bank scheme promoters frequently claim that investment opportunities of this type are by invitation only …
Feb 6, 2025
… must be properly licensed to sell securities. Check your investment professional’s registration status using our free …
Feb 6, 2025
… Investment fraud comes in many forms. Whether you are a … fraud. Advance Fee Fraud Binary Options Fraud High Yield Investment Programs Impersonation Schemes Internet and Social Media Fraud Investment Scams Targeting Groups Microcap Fraud Ponzi Scheme …
Jan 14, 2025
… Advocacy (OIEA) urges investors to be on the lookout for investment scams related to natural disasters, including the … hurricanes, floods, and oil spills, to lure victims into investment scams. These frauds may directly target … money from insurance companies or other sources. These investment frauds can take many forms. For example, …
Dec 20, 2024
… Education and Assistance to help you make better informed investment decisions and avoid common scams in 2025. 1. Avoid Relationship Investment Scams An increasingly common scam is the relationship investment scam, in which fraudsters develop a relationship …
Dec 13, 2024
… Bulletin . What are BDCs? BDCs are a type of closed-end investment fund . They are a way for retail investors to … on an exchange and has fewer options to liquidate their investment in the BDC. BDCs are not registered with the SEC as investment companies. However, BDCs are subject to many …
Dec 13, 2024
… Bulletin . What are BDCs? BDCs are a type of closed-end investment fund . They are a way for retail investors to … traded” BDCs. BDCs are not registered with the SEC as investment companies. However, BDCs are subject to many protective provisions of the Investment Company Act, such as governance requirements, …
Dec 11, 2024
… complaints, and referrals involving impersonations of investment professionals, including registered representatives and investment adviser representatives. Impersonations have … such as Facebook, LinkedIn, or WhatsApp (including through investment-related groups or chats) or draw investors to a …