Investor Alerts
MOST RECENT INVESTOR ALERTS
March 29, 2018 |
March 7, 2018 |
February 16, 2018 |
January 18, 2018 |
-
May 4, 2011FINRA is issuing this Alert to warn investors about investment scams that seek to capitalize on the disasters in Japan by linking their products and services to efforts ranging from the detection of gamma rays, to clean-up of nuclear waste and the development of earthquake-resistant structures. To avoid exposing your finances to undue risk, learn how to spot such scams and know where to turn for help.
-
March 28, 2011During tax filing season, many of us spend a great deal of time focusing on our finances—and we are not always happy with what we see. According to the FINRA Investor Education Foundation’s recently released State-by-State Financial Capability Survey, only one in six (16 percent) reported being satisfied with their current financial condition. No matter the season, now is the time to take stock of your finances. Here are some tips you can use.
-
March 15, 2011It’s no secret that when a promising company emerges or an industry sector becomes “hot,” investors typically flock to get a piece of the action. But what happens when the company is privately held and investors can’t readily buy shares because the company has not conducted an initial public offering of its stock? FINRA is issuing this alert to warn investors about pre-IPO scams purporting to offer access to shares of Facebook and other popular, well known private companies.
-
November 22, 2010Given the turbulence affecting the financial services industry these days-including recent announcements concerning Lehman Brothers-you may be wondering what would happen to your securities account if your brokerage firm closed its doors.
-
November 19, 2010You may have received "spam" or junk email recommending you invest in a stock, perhaps even invest in that stock before it is first publicly offered for sale in an Initial Public Offering (IPO).
-
September 13, 2010Sales of equity-indexed annuities (EIAs) have grown considerably in recent years. Although one insurance company includes the word "simple" in the name of their product, EIAs are anything but easy to understand.
-
July 15, 2010High-yield investment programs (HYIPs) are unregistered investments created and touted by unlicensed individuals. Typically offered through slick (and sometimes not-so-slick) websites, HYIPs dangle the contradictory promises of safety coupled with high, unsustainable rates of return—20, 30, 100 or more % per day—through vague or murky trading strategies. Virtually every HYIP we have seen bears hallmarks of fraud. We are issuing this alert to warn investors worldwide to stay away from HYIPs.
-
July 9, 2010Money market mutual funds play an important role in America's financial markets, offering a relatively lower-risk alternative for investors who seek stability and liquidity.
-
June 22, 2010The staff of the Securities and Exchange Commission and FINRA are issuing this alert to warn investors about potential scams that exploit the Gulf oil spill, which began in April 2010 with a blowout at an oil-drilling platform off the coast of Louisiana, and related cleanup efforts. While some of the companies touting their role in the cleanup may be legitimate, others could be bogus operations that are only looking to clean out unsuspecting investors.
-
June 14, 2010We all want to get our money's worth. This is true when it comes to paying for a college education - but it's also true when it comes to investing for higher education.
-
January 14, 2010FINRA and the FINRA Foundation aim to provide Americans with the tools and information they need to make sound financial choices. At the dawn of a new decade, here are 10 tips to help you stay on track with your finances.
-
December 29, 2009FINRA is issuing this Alert to warn the public about a recent auction rate securities (ARS) “phishing” scam that promises compensation from ARS settlements in exchange for personal information. The email looks like it originated from FINRA—although it did not.
-
December 29, 2009FINRA is issuing this Alert to warn investors about green energy investment scams that dangle the promise of large gains from investing in companies purportedly involved in developing or producing alternative, renewable or waste energy products. To avoid putting your portfolio in the red, learn how to spot potential green energy scams and know where to turn for help.
-
August 31, 2009The current financial crisis has not only battered the portfolios of many investors, but it has also placed a spotlight on investment fraud. FINRA is issuing this Alert to warn investors about classic types of investment fraud and to help investors spot and avoid the types of persuasion tactics fraudsters use.
-
August 31, 2009The marketing efforts used by some variable annuity sellers deserve scrutiny - especially when seniors are the targeted investors. Sales pitches for these products might attempt to scare or confuse investors.
-
August 18, 2009The SEC staff and FINRA are issuing this Alert because we believe individual investors may be confused about the performance objectives of leveraged and inverse exchange-traded funds (ETFs).
-
July 30, 2009Lately, more and more seniors are hearing about opportunities to sell their existing life insurance for cash in transactions known as life settlements. A life settlement, or senior settlement, as they are sometimes called, involves selling an existing life insurance policy to a third party--a person or an entity other than the company that issued the policy--for more than the policy's cash surrender value, but less than the net death benefit.
-
July 14, 2009The SEC and FINRA are issuing this Alert because we believe there may be widespread misunderstanding by investors that stock in the “old” General Motors Corporation (now known as Motors Liquidation Company) is related to the “new” General Motors Company (new GM).
-
October 14, 2008Especially in a down market, investors may be tempted to try and avoid the trauma of seeing the reduced value of their holdings by not opening their statements for their brokerage, mutual fund, or 401(k) or other retirement plan accounts.
-
October 13, 2008Investing money each month is a great way to build a nest egg-but not all monthly investment programs are created equal. For a specific type of systematic investment plan-sometimes referred to as a "contractual plan" or "periodic payment plan"-an investor must make a long-term commitment of 10 or 15 years.
-
October 11, 2008Buying mutual funds through a broker or other investment professional usually means choosing among different mutual fund classes. The only differences among these classes is how much you will pay in expenses and how much your broker will be paid for selling you the fund.
-
October 6, 2008As an investor, you may have read about "Class A," "Class B," Class C", or other classes of mutual fund shares. If you are thinking about choosing one of these classes, it is important for you to understand the differences between them. FINRA regulates broker/dealers and their registered representatives, and we provide investors with information about securities products and services.
-
October 6, 2008Before you consider investing in a registered fund of hedge funds, you should understand the features of these investments, how they are regulated, what risks are involved, and how you can get more information on them.
-
October 6, 2008When you think of investments and brokerage firms, you probably think of opening an account and buying stocks, bonds, or mutual funds. When you enter into a subordination agreement, you are making an investment, but the investment is in the brokerage firm itself.
-
June 26, 2008Rising costs of food and fuel, declines and volatility in the housing and financial markets, and an ever-tightening credit crunch have gathered to form a perfect storm that could lead some Americans to make poor financial choices.