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Investor Alerts

Investor Alerts

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.

FINRA is reissuing this alert on the heels of its disciplinary action related to the fraudulent sale of promissory notes to NFL and NBA players. The alert details the risks associated with promissory notes and the continued threat of promissory note schemes whose sole objective is to defraud investors.

FINRA is reissuing this alert on the heels of its disciplinary action related to the fraudulent sale of promissory notes to NFL and NBA players. The alert details the risks associated with promissory notes and the continued threat of promissory note schemes whose sole objective is to defraud investors.

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.

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