Recent Investor Newsletters

October 2014

  • Investor Alert: The IRA Rollover: 10 Tips for Making a Sound Decision
  • Investor Podcast: Here's What Happens When You Invest in Stocks
  • FINRA Investor Education Foundation
    • New FINRA Foundation Documentary: Thinking Money
    • McGruff the Crime Dog Fights Financial Fraud
  • FINRA News:
    • FINRA Foundation Study Reveals Financial Vulnerability of American Renters
    • FINRA Statement on PIABA's Arbitrator Report
    • SEC, FINRA and the MSRB to Hold Compliance Outreach Program for Municipal Advisors
    • FINRA Solicits Comment on Proposed Rule to Implement CARDS

 

September 2014

  • Investor Alert: Frontier Funds: Travel With Care
  • Investor Resources: 5 Important College Savings Tips
  • FINRA Foundation Report: 2004 – 2014 and Beyond
  • FINRA News:
    • FINRA Marks 75th Anniversary of Protecting Investors
    • FINRA Board Approves Series of Equity Trading and Fixed Income Rulemaking Items
    • FINRA Fines Citigroup Global Markets Inc. $1.85 Million and Orders Restitution of $638,000 for Best Execution and Supervisory Violations in Non-Convertible Preferred Securities Transactions

 

August 2014

  • Investor Alert: Viral Disease Stock Scams: Don't Let Them Infect Your Portfolio
  • Investor Bulletin: Trading Suspensions
  • Investor Podcast: 5 Tips for Keeping Track of Your Investments
  • FINRA Investor Education Foundation: Be Careful Who You Trust
  • FINRA News:
    • FINRA Charges Wedbush Securities for Systemic Market Access Violations, Anti-Money Laundering and Supervisory Deficiencies
    • Firms Elect Two Industry Governors to FINRA Board of Governors, Two New Public Governors Appointed
    • Military Spouses Receive Fellowships to Conduct Financial Counseling
    • SEC Approves FINRA Rule to Prohibit Conditioning Settlements on Expungement

 

July 2014

  • Investor Alerts:
    • "Phishing" and Other Online Identity Theft Scams: Don't Take the Bait (Updated)
    • Promissory Notes Can Be Less Than Promised (Updated)
  • Investor Resources:
    • FINRA Brings 144A Debt Transactions Into the Light
    • Podcast: Compare When Shopping for Financial Products
    • New Tool for Muni Bond Investors
  • FINRA Investor Education Foundation:
    • Individual Differences in Susceptibility to Investment Fraud
  • FINRA News:
    • FINRA Announces Arbitration Task Force
    • FINRA Bars Broker for Insider Trading in Japanese Securities
    • FINRA Fines Goldman Sachs Execution & Clearing, L.P. $800,000 for Failing to Prevent Trade-Throughs in its Alternative Trading System

 

June 2014

  • Investor Alerts:
    • SEC Alert: Check Out Your Financial Professional
    • High-Yield CDs: Red Flags That Signal a Scam
  • Podcast: Asset Allocation
  • FINRA News:
    • FINRA Hearing Panel Expels Success Trade Securities and Bars CEO Fuad Ahmed for Fraudulent Scheme
    • FINRA Fines Merrill Lynch $8 Million; Over $89 Million Repaid to Retirement Accounts and Charities Overcharged for Mutual Funds
    • FINRA's Statement on Chair White's Enhancing Our Market Structure Speech
    • FINRA Fines Barclays Capital, Goldman Sachs and Merrill Lynch $1 Million Each for Submitting Inaccurate Blue Sheet Data
    • FINRA Makes Dark Pool Data Available Free to the Investing Public

 

May 2014

  • Investor Resources:
    • What You Need to Know About Concentration Risk
    • Your Credit Score and Financial Health
  • Investor Alert: Bitcoin and Other Virtual Currency-Related Investments
  • FINRA News:
    • FINRA Fines Morgan Stanley Smith Barney LLC $5,000,000 for Supervisory Failures Related to Sales of Shares in 83 Initial Public Offerings to Retail Customers
    • FINRA Rule Change to Limit Self-Trading Approved
    • Board Decision Finds Charles Schwab & Co. Violated FINRA Rules by Adding Waiver Provisions in Customer Agreements Prohibiting Customers From Participating in Class Actions; Reverses FINRA Hearing Panel Decision
    • FINRA Board Approves Amendment to Supervision Rule Requiring Firms to Conduct Background Checks on Registration Applicants

 

April 2014

  • Investor Alert: Social Media and Investment Fraud
  • Investor Resource: Smart Management of Retirement Income
  • Investor Podcast: What You Need to Know About Mutual Fund Fees
  • FINRA News:
    • FINRA Launches Retrospective Rule Review
    • FINRA Fines LPL Financial LLC $950,000 for Supervisory Failures Related to Sales of Alternative Investments

 

March 2014

  • Investor Alerts:
    • Bitcoin: More than a Bit Risky
    • Beware of False Claims of SEC Registration
  • Investor Podcast: 5 Tips to Achieve Greater Financial Stability
  • FINRA Foundation Study Finds that Millennials Face Financial Struggles
  • FINRA News:
    • FINRA and BATS Order Citigroup Global Markets Inc. to Pay $1.1 Million for Illegal Short Selling In Advance of Five Public Offerings and for Related Supervisory Violations
    • FINRA Fines Triad Advisors and Securities America a Total of $1.2 Million for Consolidated Reporting Violations
    • FINRA Fines Berthel Fisher and Affiliate, Securities Management & Research, $775,000 for Supervisory Failures Related to Sales of Non-Traded REITs and Leveraged and Inverse ETFs

 

February 2014

  • Investor Alert: 5 Do's and Don'ts for Greater Financial Security
  • SEC Investor Bulletin: How Fees and Expenses Affect Your Investment Portfolio
  • FINRA Foundation and UnitedWay Worldwide Announce Grassroots Financial Education Grants
  • FINRA News:
    • FINRA Board Approves Rule Prohibiting Conditioning Settlements of Customer Disputes on a Customer's Agreement Not to Oppose Expungement
    • BATS Global Markets, FINRA Enter Regulatory Service Agreement
    • FINRA Fines Brown Brothers Harriman A Record $8 Million for Substantial Anti-Money Laundering Compliance Failures
    • FINRA Fines Banorte-Ixe Securities $475,000 for Inadequate Anti-Money Laundering Program and for Failing to Register Foreign Finders

 

January 2014

  • Investor Alert: The IRA Rollover: 10 Tips to Making a Sound Decision
  • Investor Podcast: Private Placements—Consider the Risks before Investing
  • FINRA Investor Education Foundation: FINRA Foundation and ALA Announce $1.19 Million in Grants to Public Libraries to Support Financial Literacy
  • FINRA News:
    • FINRA Bars J.P. Morgan Vice President and Broker Friend in Insider Trading Scheme
    • FINRA Orders Stifel, Nicolaus and Century Securities to Pay Fines and Restitution Totaling More Than $1 Million for Unsuitable Sales of Leveraged and Inverse ETFs, and Related Supervisory Deficiencies
    • FINRA Releases 2014 Regulatory and Exam Priorities
    • FINRA Fines Barclays $3.75 Million for Systemic Record and Email Retention Failures
    • FINRA Solicits Comment on Comprehensive Automated Risk Data System (CARDS) Proposal

 

December 2013

  • FINRA Investor Education Foundation: FINRA Foundation Releases Military Financial Capability Survey
  • Podcast: Stock Up on Information Before Buying Stock
  • FINRA News:
    • FINRA Fines Deutsche Bank Securities, Inc. $6.5 Million for Serious Financial and Operational Deficiencies
    • FINRA Fines COR Clearing LLC $1 Million for Extensive Regulatory Failures
    • FINRA Fines Oppenheimer $675,000 and Orders Restitution of More Than $246,000 for Charging Unfair Prices in Municipal Securities Transactions and for Supervisory Violations

 

November 2013

  • Investor Alert: Closed-End Fund Distributions—Where is the Money Coming From?
  • Podcast: Are You at Risk for Scams?
  • Investor News:
    • IRS Warns Consumers of Possible Scams Relating to Relief for Typhoon Victims
    • FINRA Releases Enhanced BrokerCheck Tool
  • FINRA News:
    • Self-Regulatory Organizations Response to SEC for Strengthening Critical Market Infrastructure
    • FINRA Fines TD Ameritrade Clearing and SG Americas Securities a Total of $1.8 Million for Required Options Positions Reporting and Supervisory Violations