Nov 20, 2014
… is issuing this Investor Alert to warn investors about investment scams involving companies that claim their … often attempt to take advantage of the news as a hook for investment schemes touting “the latest growth industry” … Hurricane Katrina and Hurricane Sandy have given rise to investment scams (including promoters touting companies …
Oct 22, 2014
… misstated or omitted facts would have impacted investors’ investment decisions. Enforcement also considers whether the …
Sep 24, 2014
… Fraudsters may use unregistered offerings to conduct investment scams. See our Investor Alert about red flags to … considerations to take into account when considering an investment in a private placement: Ability to weather a total … including the potential of a total loss. Illiquid investment. Unlike an investment purchased on a stock …
Sep 9, 2014
… brazenly target investors who have already lost money in investment schemes. Fraudsters also often direct investors … overseas trading programs that promised astronomical investment returns. Malom promised investors that after … Skeptical and Ask Questions One of the best ways to avoid investment fraud is to ask questions. Be skeptical if you …
Sep 9, 2014
… companies and others following Hurricane Sandy, 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 Hurricane Sandy. Be Skeptical and …
Aug 4, 2014
… however, may also use unregistered offerings to conduct investment scams. If you are presented with an opportunity to … offering, in addition to thoroughly researching an investment—and the investment professional selling it—you should be on the …
Jul 17, 2014
… decisions and avoid fraud. Checking the background of an investment professional is easy and free. Details on an investment professional’s background and qualifications are available through the SEC’s Investment Adviser Public Disclosure website and FINRA …
Jul 11, 2014
… individuals or firms as agents; Suggests that an investment is legitimate or encourages you to proceed with an investment; or Offers you grants or other financial … Fake Correspondence (October 2013) Investor Alert: Beware Investment Offers Implying SEC Endorsement (June 2013) …
Jun 27, 2014
… Bulletin to educate investors about transferring an investment account from one investment firm to another and to provide tips on how to avoid problems and delays. Investors transfer their investment accounts for many reasons. Their broker or …
Jun 18, 2014
… to help educate investors about affinity fraud, a type of investment scam that preys upon members of identifiable … Affinity fraud almost always involves either a fake investment or an investment where the fraudster lies about important details …