FINRA Investor News

February 24, 2012

Investor Alert: It Pays to Understand Your Brokerage Account Statements and Trade Confirmations

 

Investor Alert: It Pays to Understand Your Brokerage Account Statements and Trade ConfirmationsFINRA often reminds investors to review their brokerage account statements and trade confirmations—with good reason. Not only do these documents help you stay on top of your investment holdings, but they also provide valuable information that can alert you to errors, or even misconduct by your broker or brokerage firm such as unauthorized trading.


The accuracy of statements and trade confirmations is something securities regulators take very seriously. Learn about the key elements of your brokerage account statements and trade confirmations, and find tips that can help avoid problems.

   

Smart Investing: FINRA Foundation and NFL Team Up to Help Players Avoid Investment Fraud, Make Smart Financial Decisions

The FINRA Investor Education Foundation and the National Football League (NFL) teamed up in January to teach incoming NFL players how to spot and avoid investment fraud—an important step to help players protect their finances as they begin their professional careers.

 

This joint initiative, which was launched to prospective NFL players at two separate events, incorporated the FINRA  Foundation’s Outsmarting Investment Fraud program to help participants learn how to choose the right financial professional and how to do a background check.

 

Participants also learned about the risks of taking on debt, and the psychological persuasion tactics con artists use to defraud their victims.

 

 

 


 

Recent Alerts

 

Email Hack Attack? Be Sure to Notify Brokerage Firms and Other Financial Institutions

 

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FINRA News

 

2/1/12 – FINRA Charges Charles Schwab & Co With Violating FINRA Rules by Using Class Action Waiver in Customer Agreements

 

1/26/12 – FINRA Warns Investors of Email Hack Attacks

 

 


 

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Fund Analyzer

 

Risk Meter

 

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Understanding Investment Professional Designations

 

529 College Savings Plan Expense Analyzer

 

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