August 12, 2011
Stanford University and the FINRA Investor Education Foundation Launch Fraud Prevention Research Center
Stanford University’s Center on Longevity and the FINRA Investor Education Foundation have launched the Research Center on the Prevention of Financial Fraud, an interdisciplinary resource for law enforcement, government and research groups studying financial fraud.
Ponzi schemes, online phishing scams, work-from-home schemes and other forms of financial fraud swindle Americans out of billions of dollars each year. This joint initiative will support and consolidate scientific research and connect this research to practical prevention and detection efforts.
The Research Center will host its first conference November 3 and 4 in Washington, DC. The event seeks to share the latest interdisciplinary research as it informs our understanding, detection and prevention of financial fraud.
The Grass Isn't Always Greener—Chasing Return in a Challenging Investment Environment
Investors currently find themselves in a difficult investing environment. Yields on fixed-income investments are at historically low levels, and stock returns have been quite volatile. What's an investor to do? Some investors are "chasing return," meaning they are putting their assets into riskier and sometimes esoteric products that promise higher yields and returns than they can obtain in more traditional investments.
This FINRA Investor Alert reminds investors of the questions they should ask before assuming more risk and describes a number of simple and complex investment products they may encounter.
7/26/2011 — FINRA Fines SunTrust Robinson Humphrey, SunTrust Investment Services a Total of $5 Million for Auction Rate Securities Violations