FINRA Investor News

August 2013


Investor Alerts


Marijuana Stock Scams


Investor Alert: Marijuana Stock ScamsWith medical marijuana legal in almost 20 states, and recreational use of the drug recently legalized in two states, the cannabis business has been getting a lot of attention—including the attention of scammers. FINRA is issuing this alert to warn investors about potential scams associated with marijuana-related stocks.




Cold Calls from Brokerage Firm Imposters—Beware of Old-Fashioned Phishing


Investor Alert: Cold Calls from Brokerage Firm Imposters—Beware of Old-Fashioned PhishingFINRA has received reports that scammers are posing as employees of at least one well-known brokerage firm to obtain personal information. In a new twist to Internet phishing schemes—which use spam email to lure you into revealing everything from Social Security numbers to financial account information—it appears that some fraudsters may be resorting to a time-tested method: the telephone call. Learn more.



Investor Resources


Podcast: 6 Tips for Working with Your Investment Professional


Podcast: 6 Tips for Working with Your Investment ProfessionalFew relationships are as important as the one you cultivate with your investment professional. These tips can help ensure a productive relationship with your investment professional.


Listen  | 3 min. 43 sec.




Are You Saving Enough for Retirement?


Are You Saving Enough for Retirement? Calculator imagePlanning can really pay off, especially when it comes to your financial future. So use our retirement calculator to figure out your investing strategy now—and make sure you will have enough to see you through your retirement years.


Learn more about saving for retirement.



Our Story


FINRA:Our Story Photo


Want to learn more about FINRA? Watch employees talk about who we are and what we do.




8/16/13 – Regulators Issue Joint Staff Review of Firms' Business Continuity and Disaster Recovery Planning


8/14/13 – Military Spouses Receive Fellowships to Conduct Financial Counseling


8/5/13 – FINRA Fines Oppenheimer & Co., Inc. $1.4 Million for Sale of Unregistered Penny Stocks and Anti-Money Laundering Violations


7/22/13 – FINRA Significantly Increases Transparency in the Mortgage-Backed Securities Market



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