Recent Investor Newsletters
April 26, 2012
- Order Free FINRA Publications
- Start a Spending Plan
- FINRA Foundation Study Finds Most Women Pay More When Using Credit Cards
- FINRA News:
- Goldman, Sachs & Co. Fined $22 Million for Supervisory Failures Relating to Trading and Equity Research
- FINRA Hearing Panel Fines David Lerner Associates $2.3 Million for Selling Municipal Bonds, CMOs to Retail Customers at Unfair Prices, and for Supervisory Violations
March 26, 2012
- Investor Alert: Well-Traveled Fraud—Advance-Fee Scams Target Non-U.S. Investors Using Fake Regulator Websites and Broker Identities

- Investor Alert: "Phishing" and Other Online Identity Theft Scams—Don’t Take the Bait

- Are You at Risk for Fraud? Find Out With Our Risk Meter
- FINRA Investor Education Foundation and United Way Worldwide Announce Over $1.3 Million in Grants for Grassroots Financial Education Projects
- FINRA News:
- FINRA Fines Citi International Financial $600,000 and Orders Restitution of $648,000 for Excessive Markups and Markdowns
- FINRA Foundation Military Spouse Fellowship Application Period Open From March 1-31
- FINRA Issues New Investor Alert to Help Investors Understand Their Brokerage Account Statements
February 24, 2012
- Investor Alert: It Pays to Understand Your Brokerage Account Statements and Trade Confirmations
- Smart Investing: FINRA Foundation and NFL Team Up to Help Players Avoid Investment Fraud, Make Smart Financial Decisions
- FINRA News:
- FINRA Charges Charles Schwab & Co With Violating FINRA Rules by Using Class Action Waiver in Customer Agreements
- FINRA Warns Investors of Email Hack Attacks
January 30, 2012
- Investor Alert: Email Hack Attack? Be Sure to Notify Brokerage Firms and Other Financial Institutions
- Smart Investing: FINRA Foundation and American Library Association Announce $1.2 Million in Grants to Libraries to Support Financial Literacy
- FINRA News:
- FINRA Fines Merrill Lynch $1 Million for Failure to Arbitrate Disputes With Employees
- FINRA Fines Citigroup Global Markets $725,000 for Failure to Disclose Conflicts of Interest in Research Reports
- FINRA Fines Credit Suisse Securities $1.75 Million for Regulation SHO Violations and Supervisory Failures
December 22, 2011
- Investor Alert: Weathering Tough Economic Times—12 Tips for 2012
- Fight Fraud: FINRA Foundation Launches "New" SaveAndInvest.org Website
- Restitution for Harmed Investors: Chase Investment Services Corporation—UITs and Floating-Rate Loan Funds
- FINRA News:
- FINRA Foundation and USA Track & Field Foundation Team Up to Help Athletes Sidestep Investment Fraud
- FINRA Sanctions Eight Firms and 10 Individuals for Selling Interests in Troubled Private Placements, Including Medical Capital, Provident Royalties and DBSI, Without Conducting a Reasonable Investigation
- FINRA Fines Wells Investment Securities $300,000 for Use of Misleading Marketing Materials for REIT Offering
- FINRA Fines Morgan Stanley $1 Million and Orders Restitution of $371,000 for Excessive Markups and Markdowns
November 10, 2011
- Investor Alert: Why Leave Money on the Table? Make the Most of Your Employer's 401(k) Match
- Podcast: Structured Notes With Principal Protection: Understand the Risks of Your Investment
- FINRA News:
- Remarks by Chairman and CEO Rick Ketchum at the Research Center on the Prevention of Financial Fraud 2011 Conference
- FINRA Fines UBS Securities $12 Million for Regulation SHO Violations and Supervisory Failures
- FINRA Investor Alert Urges American Workers to Take Advantage of 401(k) Match
- FINRA Launches New Securitized Product Tables
October 13, 2011
- Investor Alert: Companies in Bankruptcy Rarely Make Blockbuster Investments
- Investor Alert: Public Non-Traded REITs—Perform a Careful Review Before Investing
- FINRA News:
- FINRA Foundation Supports First Lady's "Joining Forces" Initiative with Expanded Education Offerings for Military Families
- FINRA Fines Merrill Lynch $1 Million for Supervisory Failures That Allowed a Registered Representative to Operate a Ponzi Scheme
- FINRA Names Gerri Walsh President of the FINRA Foundation, Head of Investor Education
- FINRA Orders Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. to Pay $1.69 Million in Restitution for Charging Unfair Commissions
September 15, 2011
- Investor Alert: "Gold" Stocks—Some Investments Mine Your Pocketbook
- Podcast: Stock-Based Loan Programs: What Investors Need to Know
- FINRA News:
- FINRA Fines Five Broker Dealers for Improper Handling Fees
- FINRA Suspends and Fines Trader; Orders Restitution for Manipulative Trading that Artificially Impacted the Market Through a Concealed Account
- Stanford University and the FINRA Foundation Launch Fraud Prevention Research Center
August 12, 2011
- Stanford University and the FINRA Investor Education Foundation Launch Fraud Prevention Research Center
- Investor Alert: The Grass Isn't Always Greener—Chasing Return in a Challenging Investment Environment
- FINRA News:
- FINRA Fines SunTrust Robinson Humphrey, SunTrust Investment Services a Total of $5 Million for Auction Rate Securities Violations
- FINRA Suspends William Bailey, Former NEXT Financial Broker, for Two Years for Improper Trading in Customer Accounts and Other Violations
July 14, 2011
- Use FINRA BrokerCheck® to Review Your Broker’s Record
- Podcast: Moving Your 401(k)
- FINRA News:
- Morgan Keegan Ordered to Pay $200 Million to Investors to Settle Allegations Regarding Sales of Bond Funds
June 9, 2011
- Investor Alert: Structured Notes With Principal Protection: Note the Terms of Your Investment
- Investor Alert: Stock-Based Loan Programs: What Investors Need to Know
- Podcast: Investment Scams Follow in the Wake of the Crisis in Japan
- FINRA News:
- FINRA Fines Northern Trust Securities, Inc. $600,000 for Inadequate Supervision of Sales of Collateralized Mortgage Obligations and Certain High-Volume Securities Trades
- FINRA Charges David Lerner & Associates With Soliciting Investors to Purchase REITs Without Fully Investigating Suitability; Lerner Marketed REITs on its Website With Misleading Returns
- FINRA Fines Credit Suisse Securities $4.5 Million and Merrill Lynch $3 Million for Misrepresentations Related to Subprime Securitizations
- FINRA Fines Nuveen $3 Million for Use of Misleading Marketing Materials Concerning Auction Rate Securities
- FINRA Launches New Disciplinary Actions Database
May 12, 2011
- Investor Alert: Investment Scams Follow in the Wake of the Crisis in Japan
- Podcast: Five Ways to Get Control of Your Finances
- Podcast: Pre-IPO Offerings—These Scammers Are Not Your Friends
- FINRA News:
- FINRA Fines Wells Fargo Advisors $1 Million for Delays in Delivering Prospectuses to More Than 900,000 Customers
- FINRA Bars Illinois Broker for Insider Trading
- FINRA Suspends Pinnacle Partners and its President Brian Alfaro
- FINRA Fines Jefferies $1.5 Million for Failing to Disclose Additional Compensation Paid and Conflicts in Sale of Auction Rate Securities
April 14, 2011
- Investor Alert: Take Control of Your Financial Future: Tips to Think About at Tax Time and Beyond
- April Is Financial Literacy Month: Test Your Investing Knowledge
- Podcast: How to Transfer Your Brokerage Account
- FINRA News
- FINRA Fines Santander Securities $2 Million for Deficiencies in Its Structured Product Business and Unsuitable Reverse Convertible Sales
- FINRA Fines UBS Financial Services $2.5 Million; Orders UBS to Pay Restitution of $8.25 Million for Omissions That Effectively Misled Investors in Sales of Lehman-Issued 100% Principal-Protection Notes
- FINRA Sanctions Two Firms and Seven Individuals for Selling Private Placements Without Conducting a Reasonable Investigation
- FINRA Hearing Panel Expels AIS Financial, Inc. for Systemic Anti-Money Laundering Violations