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Investor Alerts

Investor Alerts

Automated investment tools may offer clear benefits—including low cost, ease of use, and broad access. But it is important to understand their risks and limitations before using them.

A range of programs and lawsuit settlements have resulted in new money coming into Indian Country. If you are a recipient or potential recipient of this new money, you may have questions about how to manage and invest the assets, and how to select and work with an investment professional. The Financial Industry Regulatory Authority (FINRA), the FINRA Investor Education Foundation and First Nations Development Institute teamed up to develop the following tips to help you confidently manage this new money, as well as avoid financial fraud.

Cyber threats to the information and computer systems of brokerage firms are increasing, and with these threats comes the risk of potential harm to investors. FINRA is issuing this alert to encourage investors to understand a firm’s cybersecurity policies and take personal precautions to safeguard their brokerage accounts and personal financial information.

Information technology (IT) plays a critical role in the securities industry. Unfortunately, cyber threats to the information and computer systems of brokerage firms are increasing, and with these threats comes the risk of potential harm to investors.

New technology such as electronic cigarettes, often called e-cigarettes, can give rise to legitimate investment opportunities. But sometimes it opens the door to fraud. The SEC recently issued a trading suspension for a company that purported to make disposable electronic cigarettes because of concerns about manipulative activity related to the company’s common stock.

New technology such as electronic cigarettes, often called e-cigarettes, can give rise to legitimate investment opportunities. But sometimes it opens the door to fraud. FINRA is issuing this Alert to warn investors to be wary of aggressive promotions touting stocks that claim to capitalize on various aspects of the e-cigarette and vaporizer, or "vape," market.

Precious metals are notorious for price movements that can peak investor interest during upswings and downswings alike. If you are thinking that now is the time to invest in physical precious metals such as silver, gold or maybe palladium or platinum, be aware of the risks involved. They include the potential for high-pressure sales tactics and even fraud.

Precious metals are notorious for price movements that can pique investor interest during upswings and downswings alike. If you are thinking that now is the time to invest in physical precious metals such as silver, gold or maybe palladium or platinum, be aware of the risks involved. They include the potential for high-pressure sales tactics and even fraud.

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