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Investor Alerts

FINRA Investor Alerts

Job Dislocation: Managing the Financial Impact of Unexpected Job Loss (8/7/08)

Weathering Tough Financial Times--The Long-term Costs of Quick Cash (6/26/08)

401(k) Debit Cards--Think Before You Swipe (5/29/08)

Well-Traveled Fraud—Advance-Fee Scams Target Non-U.S. Investors Using Fake Regulator Web Sites and False Broker Identities (5/15/08)

Beware of Online Job Classifieds Used to Steal Your Identity (5/12/08)

Auction Rate Securities: What Happens When Auctions Fail (4/30/08)

Catastrophe Bonds and Other Event-Linked Securities (4/24/08)

Equity-Indexed Annuities—A Complex Choice (4/22/08)

Reverse Mortgages: Avoiding a Reversal of Fortune (3/13/08)

Keeping Your Account Secure: Tips for Protecting Your Financial Information (1/28/08)

Save Your Energy and Money—Don't Fall for Energy Stock Scams (10/23/07)

"Free Lunch" Investment Seminars—Avoiding the Heartburn of a Hard Sell (9/10/07)

Putting too Much Stock in Your Company—A 401(k) Problem (9/6/07)

"China" Stocks—Look Beyond the Name Before You Invest (4/23/07)

Market Risk: What You Don't Know Can Hurt You (4/16/07)

Systematic Investment Plans—Educate Yourself Before You Enlist (4/12/07)

Investing with Borrowed Funds: No "Margin" for Error (4/10/07)

Seniors Beware: What You Should Know About Life Settlements (2/8/07)

College Savings Plans—School Yourself Before You Invest (11/7/06)

"I hope this is your email" Scam Offers No Hope of Profits (11/6/06)

Look Before You Leave: Don't Be Misled By Early Retirement Investment Pitches That Promise Too Much (9/14/06)

"Dash" Gov Sites Part of Ploy to Dash Off With Your Money (7/11/06)

Think Twice Before Cashing Out Your 401(k) (4/26/06)

Customer Advisory Centers: Not Your Typical Securities Firm Call Center (3/15/06)

Should You Exchange Your Variable Annuity? (3/2/06)

Bird Flu Stock Scam Could Be Hazardous to Your Financial Health (12/28/05)

Beware of "Hot" Stock Tips on Your Cell Phone (12/13/05)

Beware of Stock Fraud in the Wake of Hurricane Katrina (9/16/05)

Stock Spams and Scams (9/16/05)

Protect Your Online Brokerage Account: Safety Should Come First When Logging In and Out (7/28/05)

"Phishing" and Other Online Identity Theft Scams: Don't Take the Bait (1/28/05)

Brokerage Firm Private Securities Offerings: Buying Your Brokerage (6/14/04)

100% Mortgages: The Low Down on No Money Down (5/3/04)

Betting the Ranch: Risking Your Home to Buy Securities (3/15/04)

Net Asset Value Transfers: Look Before You Leap Into Another Mutual Fund (2/26/04)

Mutual Fund Breakpoints: Are You Owed a Refund? (11/3/03)

Class B Mutual Fund Shares: Do They Make the Grade? (6/25/03)

Variable Annuities: Beyond the Hard Sell (5/27/03)

Principal-Protected Funds—Security Has a Price (3/27/03)

Mutual Fund Breakpoints: A Break Worth Taking (1/14/03)

Understanding Mutual Fund Classes (1/14/03)

Bearing Up in a Bear Market: You Still Need to Open Your Account Statements (11/5/02)

Should You Exchange Your Life Insurance Policy? (9/23/02)

10 Tips to Keep Track of Your Investments (9/23/02)

Funds of Hedge Funds—Higher Costs and Risks for Higher Potential Returns (8/23/02)

Subordination Agreements—Understand the Risks (4/11/02)

Fears of Anthrax and Terrorism Spawning Investment Scams (11/15/01)

"Stretch" IRAs—Too Much of a Stretch for You? (8/10/01)

Promissory Notes Can Be Less Than Promised (1/11/01)

Other Investor Alerts

SIPC Warns Investors of New Identity Theft "Phishing" Scheme Involving Phony Request for Confidential Financial Information (Securities Investor Protection Corporation)

Annuities and Senior Citizens: Senior Citizens Should Be Aware Of Deceptive Sales Practices When Purchasing Annuities (National Association of Insurance Commissioners)

Regulators Urge Investors to Carefully Check Credentials of 'Senior Specialists' (North American Securities Administrators Association)

The Cash Sweep Account: What Deal Are You Getting? (New York Stock Exchange)

"Misdialed" Numbers and Stock Tips on Your Answering Machine (Securities and Exchange Commission)

Beware of Oil and Gas Schemes (Washington State Department of Financial Institutions)

SIPC Exposes Phony "Look-Alike" Web Site (Securities and Exchange Commission)

Anti-Terrorist Stop Order Letter Scam (Federal Crimes Enforcement Network)

"Phishing" Scam Uses Anti-Terrorism, FDIC, and Other Government Agencies as Hook: Don't Take the Bait (US Treasury)

"Brokerage Identity Theft" Scams Targeting Investors (Securities Investor Protection Corporation)

Fraud on the Line: Avoiding Do Not Call Scams (Federal Trade Commission)

Foreign Currency (Forex) Trading Scams (Commodity Futures Trading Commission)

Pretexting: Your Personal Information Revealed (Federal Trade Commission)

Electronic Fund Transfers (The Federal Reserve Board)

Viatical and Senior Settlement Warning (North American Securities Administrators Association)

CDs: Tips for Investors (Securities and Exchange Commission)

Affinity Fraud: Beware of Swindlers that Claim Loyalty to Your Group (North American Securities Administrators Association)

The Fleecing of Foreign Investors: Avoid Getting Burned by "Hot" U.S. Stocks (Securities and Exchange Commission)

Prime Bank Fraud (Securities and Exchange Commission)

Broker Cold Calling (Securities and Exchange Commission)

Day Trading: Your Dollars At Risk (Securities and Exchange Commission)