May 7, 2014
… the potential to give rise both to frauds and high-risk investment opportunities. Potential investors can be easily enticed with the promise of high returns in a new investment space and also may be less skeptical when … are often used by fraudsters to perpetrate fraudulent investment schemes. Fraudsters may entice investors by …
Mar 20, 2014
… Alert to warn investors about potentially fraudulent investment schemes that involve individuals or firms … status, of any person who tries to sell them an investment product or service, and should avoid investing … SEC. Registration of Individuals and Firms Many sellers of investment products or services are either brokers, …
Feb 10, 2014
… se encuentra disponible a través del sitio web de Investment Adviser Public Disclosure de la SEC y el informe …
Dec 4, 2013
… 10-Q. Periodic reports help investors to make informed investment decisions about the purchase or sale of a … investors with information to help them make informed investment decisions. The SEC's Divisions of Enforcement and …
Oct 17, 2013
… warn individual investors about pyramid schemes, a type of investment scam that fraudsters often pitch as a legitimate … one million Internet customers through a complex investment scam involving a Ponzi scheme promoted as a daily … or report a problem concerning your investment, your investment account, or a financial professional, please visit …
Oct 9, 2013
… Alert to warn individual investors about fraudulent investment scams that exploit the Immigrant Investor Program, … and Immigration Services ("USCIS") are aware of investment scams targeting foreign nationals who seek to … for the EB-5 program. These regional centers offer investment opportunities in "new commercial enterprises" that …
Oct 3, 2013
… individuals or firms as agents; suggesting that an investment is legitimate or encouraging you to proceed with an investment; or offering you grants or other financial … the SEC's website and Investor.gov: Investor Alert: Beware Investment Offers Implying SEC Endorsement (June 2013) …
Sep 23, 2013
… investors about advertisements and announcements for investment opportunities in certain securities offerings. … investors. Private funds, such as hedge funds, also raise investment capital through private placements. Private … party may be a registered broker- dealer, SEC-registered investment adviser, licensed attorney or certified public …
Sep 11, 2013
… professionals that are registered as a broker-dealer or investment adviser have obtained registrations and licenses … registered representative with a broker-dealer firm and an investment adviser. Also, a financial professional selling … How can I verify your standing with this organization? Investment advisers are required to provide to their …
Jul 23, 2013
… alert to warn individual investors about fraudulent investment schemes that may involve Bitcoin and other virtual … currencies. Ponzi Schemes Generally A Ponzi scheme is an investment scam that involves the payment of purported … many Ponzi schemes, rather than engaging in any legitimate investment activity, the fraudulent actors focus on …