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 … Bulletin to educate investors about transferring an investment account from one investment firm to another and to …
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 … to help educate investors about affinity fraud, a type of investment scam that preys upon members of identifiable …
Jun 16, 2014
… behaviors identified in the study that can undermine investment performance. The Report presents the findings of … of the SEC’s staff. What investing behaviors undermine investment performance? The Library of Congress report … identifies nine investing behaviors that can undermine investment performance. These behaviors include: active …
Jun 2, 2014
… avoid fraudulent schemes that may be carried out through investment newsletters. Investment newsletters come in many forms. They may be found … commentary and analysis about particular companies, investment products, or financial trends. While many … avoid fraudulent schemes that may be carried out through investment newsletters. …
May 21, 2014
… IAPD database can be accessed through the Check Out Your Investment Professional search tool on Investor.gov . For … please see our Investor Bulletin, How to Select an Investment Professional . The IAPD database contains registration documents filed by investment adviser firms that register electronically using …
May 16, 2014
… Microcap stocks are particularly vulnerable to fraudulent investment schemes because there is often limited … caution if you spot any of these red flags of potential investment fraud: “Guaranteed” high investment returns. If someone promises you a high rate of …
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 …