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Investor Alerts

Investor Alerts

Financial fraud routinely follows on the heels of disaster. Hurricane Harvey and the historic flooding it left it its wake is no exception. We are issuing this Alert to warn investors that investment scams may come your way touting stocks and other investments with the promise of huge gains in the wake of Harvey. This Investor Alert explains how to spot and protect yourself from potential investment scams.

FINRA has issued a new alert to inform investors about the potential risks of participating in Initial Coin Offerings, or ICOs. Investors should be aware that ICOs differ significantly from initial public offerings (IPOs). Unlike stocks, ICOs typically confer no ownership rights in the company; and unlike bonds, ICOs do not involve investors lending money to the issuer. Instead, ICOs involve new technologies and products that are highly technical and complex, and investors can lose some or all of the money they invest in an ICO.

Some companies and recruiters use online video call technologies such as Skype as a convenient and cost-effective way to interview job applicants. Unfortunately, fraudsters are using them too, and they aren't looking to offer you a job. FINRA is issuing this Alert to warn the public that individuals claiming to be involved in the hiring process for legitimate organizations have turned to online video call platforms as a way to phish for your personal information and money.

Some companies and recruiters use online video call technologies such as Skype as a convenient and cost-effective way to interview job applicants. Unfortunately, fraudsters are using them too, and they aren't looking to offer you a job. FINRA is issuing this Alert to warn the public that individuals claiming to be involved in the hiring process for legitimate organizations have turned to online video call platforms as a way to phish for your personal information and money.

"Crowdfunding" generally refers to the use of the Internet by small businesses to raise capital through limited investments from a large number of investors. Under SEC rules, the general public can invest in capital raising by start-up companies. This advisory is designed to help the public understand the crowdfunding rules and processes so they can make informed decisions about the risks and rewards of investing in these early-stage businesses.

FINRA is issuing this alert to warn anyone involved in binary options trading—specifically through unregistered non-U.S. companies offering binary options trading platforms or services—to be on guard for potential follow-up frauds.

If you own bonds or have money in a bond fund, there is a number you should know. It is called duration. Although stated in years, duration is not simply a measure of time. Instead, duration signals how much the price of your bond investment is likely to fluctuate when there is an up or down movement in interest rates. The higher the duration number, the more sensitive your bond investment will be to changes in interest rates.

This Investor Alert focuses on a type of call center called a customer advisory center. It is a center that is staffed by securities professionals who may provide financial planning services, sell securities products, and receive commissions or other financial incentives for doing so. These centers have become common and, in some instances, can be sales-orientated.

This Investor Alert focuses on a type of call center called a customer advisory center. It is a center that is staffed by securities professionals who may provide financial planning services, sell securities products, and receive commissions or other financial incentives for doing so. These centers have become common and, in some instances, can be sales-orientated.

FINRA is issuing this alert to inform brokerage account holders, family members and other beneficiaries about inherited IRAs. We also provide tips for making the IRA inheritance process as efficient and trouble-free as possible.

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