Dec 1, 2015
… of a reference index or benchmark, representing the ETN’s investment objective. You should understand that ETNs are … investors, and can result in the loss of your entire investment. What is an ETN? ETNs are unsecured debt … but there are important differences. ETFs are registered investment companies. An investor in an ETF owns shares of a …
Nov 5, 2015
… look up background information on a broker-dealer or investment adviser, find guidance on investing strategies, … actual person who works for the company. When you receive investment information through social media, verify the … about investing if you spot any of these red flags of investment fraud: Limited history of posts . Fraudsters can …
Oct 9, 2015
… rainfall and flooding in and around South Carolina, about investment fraud. Hurricanes, floods, oil spills, and other disasters often give rise to investment scams. These scams can take many forms, including … insurance payouts, should be extremely wary of potential investment scams related to the recent historic rainfall and …
Sep 23, 2015
… commentary and analysis about particular companies, investment products, or financial trends. While many radio … A radio program could be involved in numerous types of investment frauds. Examples include: Touting – promoting a … including financial incentives, that may influence a given investment recommendation. Fraudulent unregistered offerings …
Aug 31, 2015
… non-traded REITs. What are REITs? A REIT , or real estate investment trust, is a company that owns – and typically … and sell a publicly traded REIT with relative ease. An investment in publicly traded REITs is typically a liquid investment. Similarly, you can easily assess the value of …
Aug 20, 2015
… oversee the inspection of securities firms, brokers, investment advisers, and ratings agencies; oversee … and business operations in order to make informed investment decisions, both when a company initially offers … broker-dealers, transfer agents, clearing agencies, investment companies, and investment advisers. The office …
Aug 5, 2015
… it is important to note that the SEC does not endorse investment offers, assist in the purchase or sale of … or email to: seek assistance with a fund transfer; forward investment offers to them; advise individuals that they own …
Jul 29, 2015
… Alert: Social Media and Investing -- Stock Rumors . Investment Newsletters: In some cases, an investment newsletter may promote a particular stock because … publisher has been paid to do so. Read Investor Alert: Investment Newsletters Used as Tools for Fraud . Online …
Jun 3, 2015
… 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 …
Jun 1, 2015
… including the inability to understand the consequences of investment decisions. While the inability to manage one’s … their finances, they may also become more vulnerable to investment fraud and other forms of financial abuse. … If you have a financial professional, such as a broker or investment adviser, provide that person with emergency or …