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Investor Alerts

Investor Alerts

Some low-priced "penny" stocks that are aggressively promoted may in fact be stocks of dormant shell companies that are susceptible to pump-and-dump scams.

Investors frequently get invited to free seminars that promise to educate them about investing strategies or managing money in retirement—often with an expensive meal provided at no cost. But just because someone buys you breakfast, lunch or dinner doesn't mean you have to buy what they are saying—or selling.

FINRA is issuing this alert to caution those interested in funds that invest in frontier markets to carefully consider the heightened risks in these markets. Frontier fund investments may provide potential diversification and periods of higher returns than can be obtained through more traditional investments.

"Frontier funds" that invest in securities of companies in countries with developing securities markets—like Argentina, Lebanon, Nigeria, Slovenia and Vietnam—are gaining investor attention. Some see investing in frontier funds as a way to diversify assets—going beyond funds that invest in established international and other more developed emerging markets. Frontier funds are also sparking the interest of some investors who are lured predominantly by potential gains.

09/09/2014
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help educate investors about advance fee fraud.

FINRA is issuing this Alert to warn investors to be wary of promotions touting stocks that claim to protect against the spread of viruses or other harmful diseases. Aggressive stock promotional tactics may signal a potentially fraudulent scheme.

Keep your portfolio quarantined from potential viral disease investment scams. If history is a guide, dramatic news coverage of viral outbreaks, including Ebola and Middle East Respiratory Syndrome (MERS), will likely catch the interest of stock scammers looking to capitalize on fears of a potential pandemic. Don't fall for the hype.

FINRA is issuing this Alert to warn investors to be wary of promotions touting stocks that claim to protect against the spread of viruses or other harmful diseases. Aggressive stock promotional tactics may signal a potentially fraudulent scheme.

08/04/2014
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help investors identify potentially fraudulent unregistered offerings.

According to computer security experts, economic cyber-crime continues to surge. "Phishing" attacks have increased significantly since they were first discovered in 2005. FINRA is updating this Alert to keep you informed about some of the latest online identify theft scams targeting financial sector customers and to provide tips for spotting and avoiding these scams.

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