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Investor Alerts

Investor Alerts

06/11/2014
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help investors identify and be aware of financial professionals that may have a history of misconduct.
06/02/2014
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help investors avoid fraudulent schemes that may be carried out through investment newsletters.

In early January 2014, new laws regarding the legalization of marijuana for medical and recreational purposes went into effect in a number of states. We are reissuing this alert to warn investors about the potential for fraud in this arena, and to reiterate the risks of investing in thinly traded companies about which little is known. Any so-called "hot" stock can burn your portfolio.

Beware of promotions about certificates of deposit (CDs) promising interest rates that are substantially higher than current averages. FINRA has observed offers for “low-risk” products with outsized returns. Investors should be wary of unsolicited emails and calls that offer outsized interest from financial institutions, including banks and brokerage firms, particularly those with which you have not had a business relationship.

Beware of promotions about certificates of deposit (CDs) promising interest rates that are substantially higher than current averages. FINRA has observed offers for “low-risk” products with outsized returns. Investors should be wary of unsolicited emails and calls that offer outsized interest from financial institutions, including banks and brokerage firms, particularly those with which you have not had a business relationship.

05/16/2014
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about potential risks involving investments in marijuana-related companies.

FINRA is issuing this alert to caution investors that buying and using digital currency such as Bitcoin carry risks. Speculative trading in bitcoins carries significant risk. There is also the risk of fraud related to companies claiming to offer Bitcoin payment platforms and other Bitcoin-related products and services.

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