Recent Investor Newsletters

 

May 2013

  • Investor Resources:
    • Pension or Settlement Income Streams: What You Need to Know Before Buying or Selling Them
    • How to Avoid Commodity Fraud
  • FINRA Investor Education Foundation:
    • Retirees Are Targets of Scams
    • Don't Become a Victim of Investment Fraud
  • FINRA News:
    • FINRA Fines Three Firms $900,000 for Inadequate Anti-Money Laundering Programs
    • National Crime Prevention Council and the FINRA Foundation Partner to Reduce Investment Fraud Among Consumers Nationally

 

April 2013

  • Updated Investor Alert: Municipal Bonds—Important Considerations for Individual Investors
  • Investor Podcast: No Rainy-Day Savings Can Lead to Mortgage Problems
  • Investor Resource: Retire on Your Terms
  • FINRA Investor Education Foundation:
    • Can You Ace the Quiz?
    • Learn From One Investor Who Lost $100K to Fraud
  • FINRA News:
    • FINRA Fines Merrill Lynch $1 Million and Orders Restitution of More Than $320,000 for Failing to Provide Customers Best Execution in Non-Convertible Preferred Securities Transactions
    • FINRA Files Complaint Charging John Thomas Financial, CEO Tommy Belesis With Fraud
    • FINRA Files Temporary Cease-and-Desist Order Against Success Trade Securities and CEO Fuad Ahmed to Halt Fraud
    • FINRA Foundation Study Finds No Rainy Day Savings Can Lead to Mortgage Problems

 

March 2013

  • Podcast: 5 Tips for Financial Security
  • FINRA Investor Education Foundation:
    • FINRA Foundation Study Finds No Rainy Day Savings Can Lead to Mortgage Problems
    • Fraudsters Exploit Faith and Trust to Steal $580 Million
    • What You Should Know About ID Theft and Taxes
  • FINRA News:
    • FINRA Bars Florida Broker for Unsuitable Recommendations and Unapproved Securities Transactions Involving 31 NFL Players
    • FINRA Fines Ameriprise and Clearing Firm $750,000 for Failing to Supervise Transmittal of Customer Funds to Third-Party Accounts
    • FINRA Foundation Military Spouse Fellowship Application Period Open From March 1 – 31
    • FINRA Investor Education Foundation and United Way Worldwide Announce More Than $1 Million in Grants to Support Grassroots Financial Education Projects

 

February 2013

  • Investor Alert: "Duration": What an Interest Rate Hike Could Do to Your Bond Portfolio
  • FINRA Investor Education Foundation:
    • Are Your Credit Reports Error-Free?
    • America Saves Week
  • FINRA News:
    • FINRA Hearing Panel Dismisses Two of Three Causes of Action in Complaint Against Charles Schwab & Company
    • FINRA Fines Five ING Firms $1.2 Million for Email Retention and Review Violations
    • FINRA Investor Education Foundation and the American Library Association Announce $1.12 Million in Grants to Public Libraries to Support Financial Literacy
    • FINRA Seeks A Cease-and-Desist Order Against Westor Capital Group and its President for Misappropriation and Misuse of Customer Funds and Securities; FINRA Also Files Complaint Charging Westor and President

 

January 2013

  • Investor Resources:
    • New 401(k) "Save the Max" Calculator
    • Pruco Securities, LLC Restitution Information
  • Investor Alert: 5 Tips to Keep Your Finances from Going Off a Cliff
  • FINRA Investor Education Foundation:
    • The Investment Con's Playbook
    • Teens & Money: Understanding the Break-Even Point
  • FINRA News:
    • FINRA Launches Small Claims Telephonic Mediation Pilot Program
    • FINRA Issues Voluntary Interim Form for Crowdfunding Portals
    • 2012: FINRA Year in Review

 

December 2012

  • Investor Resource: What Investors Need to Know about Suitability
  • Investor Alert: 5 Year-End Investment Tips
  • FINRA Investor Education Foundation
    • Scams, Schemes and Swindles: A Research Review
    • New Smart Investing Website
    • Video: How to Save for College
  • FINRA News:
    • FINRA and JSDA Sign Cooperation Agreement
    • FINRA Files Complaint Charging the President and Owner of Brooklyn Brokerage Firm TWS Financial for Operating Fraudulent Scheme Targeting Polish Community

 

November 2012

  • Be Aware of Fraud
  • Video: Anyone Can Be a Victim of Fraud
  • Investor Alert: "Free Lunch" Investment Seminars: Avoid the Heartburn of a Hard Sell
  • Investor Resources:
    • Hit by Hurricane Sandy?
    • David Lerner Associates, Inc. Unfair Pricing Restitution
  • FINRA News:
    • FINRA Increases Transparency in the TBA Market for Agency Pass-Through Mortgage-Backed Securities
    • FINRA Expels Hudson Valley Capital Management and Bars CEO for Defrauding Clearing Firm and Customers
    • FINRA Files Cease-and-Desist Order Against WR Rice Financial Services and its Owner Joel Wilson for Fraudulent Conduct

 

October 2012

  • FINRA Foundation: Department of Justice-SEC Fraud Summits
  • Scam Alert: Beware of Phony IRS Websites
  • Restitution Information: David Lerner Associates, Inc. Apple REIT Ten
  • Investor Resources:
    • How Much Do You Really Know About Investing?
    • Podcast: It Pays to Understand Your Brokerage Account Statements and Trade Confirmations
    • Video: How To Build a Budget
  • FINRA News:
    • FINRA Sanctions David Lerner Associates $14 Million for Unfair Practices in Sale of Apple REIT Ten and for Charging Excessive Markups on Municipal Bonds and CMOs
    • FINRA Expels EKN Financial Services for Defying SEC Order and For Numerous Compliance Violations
    • FINRA Fines Guggenheim Securities $800,000 for Failing to Supervise CDO Traders; Two Traders Sanctioned for Efforts to Hide Loss
    • FINRA Joins Exchanges and the SEC in Fining Hold Brothers More Than $5.9 Million for Manipulative Trading, Anti-Money Laundering, and Other Violations

 

September 2012

  • Investor Alert: When Trading Stops: What You Need to Know About Halts, Suspensions and Other Interruptions
  • FINRA Investor Education Foundation Is Now on Facebook
  • Investor Resources
    • Comparing Financial Products
    • Report a Problem to FINRA
  • FINRA News:
    • FINRA Fines Merrill Lynch $500,000 for Failing to File Required Reports
    • FINRA Fines Rodman & Renshaw $315,000 for Supervisory and Information Barrier Violations; Former Chief Compliance Officer and Two Research Analysts Sanctioned

 

August 2012

  • Investor Alert: Public Non-Traded REITs—Perform a Careful Review Before Investing
  • Investor Resources: Monitor Your Financial Health
  • Public Alert: Unregistered Soliciting Entities (PAUSE)
  • FINRA News:
    • Military Spouses Receive Fellowships to Conduct Financial Counseling
    • FINRA Expels WJB Capital Group, Inc. and Bars CEO and CFO for Misstating Financial Records and Net Capital Deficiencies
    • FINRA Expels Biremis, Corp. and Bars President and CEO Peter Beck
    • FINRA Marks Fifth Anniversary
    • ASC and FINRA Sign Cooperation Agreement

 

July 2012

  • Investor Alert: Exchange-Traded Notes—Avoid Unpleasant Surprises
  • Investor Resource: Avoid Consumer Scams and Rip-Offs
  • Podcast: Email Hack Attack? Here’s What You Should Do
  • FINRA News:
    • FINRA Statement on Consolidated Audit Trail
    • FINRA Launches Pilot Program for Large Arbitration Cases
    • FINRA Fines Merrill Lynch $2.8 Million for Overcharging Customers; $32 Million in Remediation Paid to Affected Customers

 

June 2012

  • Updated Investor Alert: Investing With Borrowed Funds—No "Margin" for Error
  • Investor Tool: Is Your Investment a Scam? Find Out With Our Scam Meter
  • Podcast: Tips for Weathering Tough Economic Times
  • FINRA News:
    • FINRA Hearing Panel Fines Brookstone Securities $1 Million for Fraudulent Sales of CMOs to Elderly
    • FINRA Fines Citigroup Global Markets $3.5 Million for Providing Inaccurate Performance Data Related to Subprime Securitizations