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 …
Jun 24, 2013
… this Investor Alert to help investors identify fraudulent investment offers made by firms purporting to have met with … fraudulent schemes where the person offering the so-called investment refers to meetings with the SEC as a way of convincing potential investors that the fraudulent investment opportunity is legitimate. The SEC does not …
Jun 12, 2013
… call junk email, or spam) to lure potential victims into investment scams. Many of these emails tout a company’s … or report a problem concerning your investment, your investment account or a financial professional, please visit …
Jun 6, 2013
… trading platforms may overstate the average return on investment by advertising a higher average return on investment than a customer should expect, given the payout … been designed in such a way that the expected return on investment is actually negative , resulting in a net loss to …
Jun 4, 2013
… change. Based on their credit ratings, bonds can be either investment grade or non-investment grade . Investment-grade bonds are considered more likely than …
Jun 4, 2013
… bonds." While they generally offer a higher yield than investment-grade bonds, high-yield bonds also carry a higher … default risk issue bonds, they may be unable to obtain an investment-grade bond credit rating. As a result, they … may be subject to more liquidity risk than, for example, investment-grade bonds. How can you invest in high-yield …
May 9, 2013
… may be difficult to find and resolving disputes should an investment go sour may also be difficult. These products are … registration status of the salesperson. Visit the SEC's Investment Adviser Public Disclosure (IAPD) website. Visit … to the investor. As a result, in addition to the risk the investment may be difficult to sell and the risk that the …
May 2, 2013
… asking you to invest and think carefully about whether the investment is appropriate for you. Is the person recommending the investment registered? Most people offering you securities … at (800) 289-9999. If you are working with a registered investment adviser, you may be able to obtain information …