Investor News Newsletter April 2014

April 2014

Investor Alert

Social Media and Investment Fraud

The U.S. Securities and Exchange Commission (SEC) recently stopped an international pyramid scheme that was being promoted through Facebook and Twitter. The companies involved in the fraud were pretending to be legitimate international investment firms.

To learn more about how to avoid financial fraud that’s advertised through social media and email, see the SEC's Social Media and Investing—Avoiding Fraud, and FINRA’s Inbox Alert—Don’t Trade on Pump-and-Dump Stock Emails.


Investor Resource

Smart Management of Retirement Income

When you retire, you have more control over your time, and finally have enough leisure to do what you want. While taking control of your time may not require a lot of advance planning, taking control of your retirement finances does. Whether retirement is years away or already here, these tips can help you manage your retirement income.

Investor Podcast

What You Need to Know About Mutual Fund Fees

All mutual funds charge fees. The higher the fees you pay while owning a mutual fund, the lower the return generated by your fund shares. Even a small percentage difference in the fees among funds can add up to a big difference in the dollars you can make. It’s important to be aware of all the fees associated with a mutual fund investment.

Listen | 5 min. 55 sec.



4/8/14 – FINRA Launches Retrospective Rule Review

3/24/14 – FINRA Fines LPL Financial LLC $950,000 for Supervisory Failures Related to Sales of Alternative Investments


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