Recent Investor Newsletter Topics

July 2015

  • Investor Alert:
    • Bond Liquidity: Factors to Consider and Questions to Ask
  • Podcast:
    • What You Should Know About Automated Investment Tools
  • Investor Resources:
    • What You Should Know About Reverse Mortgages
    • Video: Making Ends Meet
    • All About IRAs
  • FINRA News:
    • FINRA Solicits Comment on New Academic TRACE Data Set
    • FINRA Orders Wells Fargo, Raymond James, and LPL Financial to Pay More Than $30 Million in Restitution to Retirement Accounts and Charities Overcharged for Mutual Funds
    • FINRA Supports NAC Members, Chris Brummer During Online Harassment

June 2015

  • Investor Alerts:
    • Plan for Transition: What You Should Know About the Transfer of Brokerage Account Assets on Death
    • Well-Traveled Fraud—Advance-Fee Scams Target Non-U.S. Investors Using Fake Regulator Websites and False Broker Identities
  • FINRA Foundation
    • In Con 'Em If You Can, You Make the Pitch
  • Investor Resources
    • Ask & Check
    • Podcast: What You Should Know About Student Loans
  • FINRA News:
    • FINRA Fines Morgan Stanley Smith Barney and Scottrade a Total of $950,000 for Failing to Supervise the Transmittal of Customer Funds to Third-Party Accounts
    • FINRA Brings Transparency to Asset-Backed Securities Market

May 2015

  • Investor Alerts
    • Automated Investment Tools
    • New Money Coming Into Indian Country: Plan for the Long Term
  • Investor Resources
    • "The Alert Investor": A New Digital Magazine
    • Podcast: What You Need to Know About Retirement and Taxes
  • FINRA Foundation
    • Take Action to Recover from Financial Fraud
  • FINRA News
    • FINRA Fines Morgan Stanley $2 Million for Short Interest Reporting and Short Sale Rule Violations
    • FINRA's NAC Strengthens Sanction Guidelines for Fraudulent Conduct
    • SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers
    • FINRA Sanctions LPL Financial LLC $11.7 Million for Widespread Supervisory Failures Related to Complex Products Sales, Trade Surveillance and Trade Confirmations Delivery
    • FINRA Files Cease and Desist Order Against Avenir Financial Group, CEO Michael Clements, and Registered Representative Karim Ibrahim for Fraud Against Elderly Investors
    • FINRA Orders RBC to Pay Fine and Restitution Totaling More Than $1.4 Million for Unsuitable Sales of Reverse Convertibles
    • FINRA Launches Toll-Free FINRA Securities Helpline for Seniors

April 2015

  • Investor Resources: The New FINRA Securities Helpline for SeniorsTM
  • Investor Alert: 4 Ways to Guard Against Investment Fraud
  • FINRA Foundation:
    • Can You Ace Our Quiz?
    • Red Flag of Fraud: Scarcity
  • FINRA News:
    • FINRA Board Approves Changes to Communications With the Public Rules, Trading Activity Fee
    • SEC Staff and FINRA Issue Report on National Senior Investor Initiative
    • FINRA Sanctions Three Firms for Inadequate Supervision of Consolidated Reports
    • FINRA Sanctions Oppenheimer & Co. $3.75 Million for Supervisory Failures
    • FINRA Sanctions First New York Securities L.L.C. $916,000 for Illegal Short Selling in Advance of 14 Public Offerings

March 2015

  • Investor Resources:
    • The New FINRA.org 
    • Check the Background of Your Investment Professional 
    • 5 Things You Should Know About Tax Refund Loans 
  • FINRA Foundation:
    • Non-Traditional Costs of Financial Fraud 
  • FINRA News:
    • FINRA Sanctions Brookville Capital Partners $1.5 Million and Bars President Anthony Lodati for Fraud 
    • FINRA Foundation Military Spouse Fellowship Application Period Open From March 2 to April 17

February 2015

  • Investor Alerts:
    • Cybersecurity and Your Brokerage Firm
    • "Prime Bank" Investments Are Scams
  • FINRA Foundation:
    • FINRA Foundation-Funded Study Documents Effectiveness of State Financial Education Mandates
    • Red Flag of Fraud: Social Consensus
  • FINRA News:
    • FINRA Investor Education Foundation and United Way Grant $1.5 Million for Financial Education
    • Statement of Marcia E. Asquith, Senior Vice President and Corporate Secretary, on the Loss of Harvey J. Goldschmid
    • Erozan Kurtas Named Head of FINRA's New Office of Advanced Data Analytics
    • FINRA Issues Report on Cybersecurity Practices, Cybersecurity Investor Alert
    • FINRA Investor Education Foundation and the American Library Association Announce $1.8 Million in Grants to Public Libraries to Support Financial Literacy

January 2015

  • Investor Alerts:
    • E-Cigarette Stock Scams: New Smoking Technology Could Light Up Pump-and-Dump Fraud
    • Physical Precious Metals: Tips to Avoid Tarnishing Your Portfolio
  • Investor Resources:
    • BrokerCheck: Finding a Broker You Can Trust
    • Podcast: 5 Things You Need to Know about Mutual Funds
  • FINRA Foundation:
    • Reciprocity: A Red Flag of Fraud
  • FINRA News:
    • FINRA Hearing Panel Expels John Carris Investments and Bars CEO George Carris for Fraud
    • FINRA Hearing Panel Expels John Thomas Financial and Bars CEO Tommy Belesis for Trading Ahead of Customer Orders, Providing False Testimony and Other Violations; Ordered To Pay $1,047,288 to Customers
    • FINRA Releases 2015 Regulatory and Exam Priorities Letter
    • FINRA Sanctions Monex Securities Inc. $1.3 Million for Failing to Register and Supervise Foreign Personnel
    • FINRA Fines Pershing LLC $3 Million for Customer Protection Rule Violations and Supervisory Failures
    • FINRA Bars Broker for Stealing $89,000 From an Elderly Customer

December 2014

  • Investor Alerts:
    • Brokers' Miscellaneous Fees
    • Precious Metals: Tips to Avoid Tarnishing Your Portfolio
    • 5 Year-End Investment Tips
  • Investor Resources:
    • 5 Steps to Happier Holiday Spending
    • Podcast: How to Protect Your Money from Cyber Thieves
  • FINRA Foundation: Baseball Great Garciaparra Reinforces Value of "Ask and Check"
  • FINRA News:
    • FINRA Fines Merrill Lynch $1.9 Million and Orders Restitution of $540,000 for Fair Pricing and Supervisory Violations Related to Purchases of Distressed Securities
    • FINRA Fines 10 Firms a Total of $43.5 Million for Allowing Equity Research Analysts to Solicit Investment Banking Business and for Offering Favorable Research Coverage in Connection With Toys"R"Us IPO
    • FINRA Names New Floor Member Governor
    • FINRA Issues Retrospective Rule Review Reports

November 2014

  • Investor Alerts:
    • Dormant Shell Companies: 5 Tips to Protect Your Portfolio from Fraud
    • How to Avoid Ebola Stock Scams
  • Investor Resource: New to Investing? Here’s What You Need to Know about Choosing Investments
  • FINRA Foundation: American Renters Face Financial Stress
  • FINRA News:
    • FINRA Fines Citigroup Global Markets Inc. $15 Million for Supervisory Failures Related to Equity Research and Involvement in IPO Roadshows
    • FINRA Announces New Public Board Members
    • FINRA and MSRB Release Proposals to Provide Pricing Reference Information for Investors in Fixed Income Markets
    • FINRA Investor Survey Reveals Strong Support for Additional Regulatory Protections
    • FINRA Fines Merrill Lynch a Total of $6 Million for Reg SHO Violations and Supervisory Failures
    • FINRA Receives Two 2014 Data Impact Awards

October 2014

  • Investor Alert: The IRA Rollover: 10 Tips for Making a Sound Decision
  • Investor Podcast: Here's What Happens When You Invest in Stocks
  • FINRA Investor Education Foundation
    • New FINRA Foundation Documentary: Thinking Money
    • McGruff the Crime Dog Fights Financial Fraud
  • FINRA News:
    • FINRA Foundation Study Reveals Financial Vulnerability of American Renters
    • FINRA Statement on PIABA's Arbitrator Report
    • SEC, FINRA and the MSRB to Hold Compliance Outreach Program for Municipal Advisors
    • FINRA Solicits Comment on Proposed Rule to Implement CARDS

September 2014

  • Investor Alert: Frontier Funds: Travel With Care
  • Investor Resources: 5 Important College Savings Tips
  • FINRA Foundation Report: 2004 – 2014 and Beyond
  • FINRA News:
    • FINRA Marks 75th Anniversary of Protecting Investors
    • FINRA Board Approves Series of Equity Trading and Fixed Income Rulemaking Items
    • FINRA Fines Citigroup Global Markets Inc. $1.85 Million and Orders Restitution of $638,000 for Best Execution and Supervisory Violations in Non-Convertible Preferred Securities Transactions

August 2014

  • Investor Alert: Viral Disease Stock Scams: Don't Let Them Infect Your Portfolio
  • Investor Bulletin: Trading Suspensions
  • Investor Podcast: 5 Tips for Keeping Track of Your Investments
  • FINRA Investor Education Foundation: Be Careful Who You Trust
  • FINRA News:
    • FINRA Charges Wedbush Securities for Systemic Market Access Violations, Anti-Money Laundering and Supervisory Deficiencies
    • Firms Elect Two Industry Governors to FINRA Board of Governors, Two New Public Governors Appointed
    • Military Spouses Receive Fellowships to Conduct Financial Counseling
    • SEC Approves FINRA Rule to Prohibit Conditioning Settlements on Expungement