Recent Investor Newsletter Topics

April 2016

  • Investor Alert
    • Required Minimum Distributions—Common Questions About IRA Accounts
  • What's Trending
    • Managing the Financial Impact of an Unexpected Job Loss
    • How Confident Are You About Retiring Comfortably?
    • Podcast: Filing an Investor Complaint
    • Everyday Money Management
  • FINRA News 
    • FINRA Decision Bars James Van Doren for Unethical Conduct; Registered Representative Engaged in Money Laundering and Assisted Friend in Deceiving Creditors
    • New Data on OTC Equity Trading Now Available, FINRA Announces
    • FINRA Securities Helpline for Seniors Marks First Year, With $1.3 Million Returned to Investors
    • FINRA Reminds Firms about Obligations Regarding Pension Income Stream Products

March 2016

  • Investor Alerts
    • Power of Attorney and Your Investments—10 Tips 
    • Zika Crisis Might Give Rise to Investment Scams 
  • What's Trending
    • Filing an Investor Complaint 
    • Podcast: Tips for a Turbulent Market 
    • What You Need to Know About Financial Planners 
    • 5 Things to Know About Transferring a Brokerage Account 
    • Free Consumer Protection Resources 
  • FINRA News 
    • FINRA and Nasdaq Fine Wedbush Securities Inc. $675,000 For Supervisory Violations Relating to Chronic Fails to Deliver by a Client in Multiple Exchange-Traded Funds 
    • FINRA Reports on Effective Practices for Digital Investment Advice 
    • FINRA Evaluates Membership Application Rules 
    • FINRA Foundation Military Spouse Fellowship Application Now Open 
    • FINRA Approves Enhanced Price Disclosure to Retail Investors in Fixed-Income Securities 

February 2016

  • Investor Alerts
    • High-Yield CD Offers Can Be Bait for High-Commission Investments 
    • Beware of Asset Recovery Scams 
  • What's Trending
    • Cost Basis and Your Taxes—Brokerage Firms Assist, But Filing and Record Keeping Are in Your Court 
    • Podcast: 5 Tips to Avoid Pump-and-Dump Scams 
    • Video: How to Spot the 5 Persuasion Tactics Used in Investment Fraud 
    • America Saves: Have You Pledged to Save? 
  • FINRA News 
    • FINRA Bars Broker for Market Manipulation 
    • FINRA Bars Two Brokers for Fraudulent Sales of a Hedge Fund 
    • SEC and FINRA to Hold Regional Compliance Outreach Programs for Broker-Dealers 

January 2016

  • Investor Alerts
    • Keeping Your Account Secure: Tips for Protecting Your Financial Information 
    • Disaster Planning—5 Things to Put in Your Financial Emergency Kit 
  • What's Trending
    • Are Your Investments Ready for the New Year? 
    • Stock Market Got You Down? Tips for a Turbulent Market 
    • Do You Know How to Avoid Tax ID Theft? 
    • Lessons for All Investors from FINRA's Senior Helpline 
  • FINRA News 
    • FINRA's 2016 Focus: Supervision, Liquidity and Securities Firms' Culture 
    • FINRA Sanctions Barclays Capital, Inc. $13.75 Million for Unsuitable Mutual Fund Transactions and Related Supervisory Failures 
    • FINRA Fines Macquarie Capital (USA) Inc. $2.95 Million for Submitting Inaccurate Blue Sheet Data 
    • FINRA Sanctions Cantor Fitzgerald & Co. $7.3 Million for Selling Billions of Unregistered Microcap Shares, and for Related Supervisory and AML Violations 

December 2015

Happy Holidays from FINRA!: View our holiday card. 

Investor Alerts

  • Securities-Backed Lines of Credit (SBLOCs) – It May Pay to See Beyond the Pitch 
  • What You Should Know About Bitcoin 

What's Trending

  • Don't Go Holiday Shopping With Your 401(k) 
  • Podcast: 3 Things to Know About Financial Planners 
  • The Fed Is Raising Rates: Here Are 3 Things to Keep in Mind 
  • Wake Up and Smell the Pump and Dump 
  • Thinking Money: The FINRA Foundation's Award-Winning Documentary 


  • FINRA Sanctions Fidelity Brokerage Services LLC $1 Million for Supervisory Failures 
  • FINRA Announces New Public Board Member 
  • FINRA Arbitration Task Force Issues Final Report 
  • Corporate Bond Liquidity Healthy by Most Measures: FINRA Research 
  • SEC, FINRA, MSRB to Hold Compliance Outreach Program for Municipal Advisors 

November 2015

Investor Alerts

  • Tools of the Fraud Trade: Phones and Emotions 
  • Binary Options: These All-Or-Nothing Options Are All-Too-Often Fraudulent 

What's Trending

  • How to Stay Out of the Red on Black Friday 
  • How to Find and Work With an Investment Professional 
  • Podcast: Is It Time to Rebalance Your Portfolio? 
  • Beware of Tech Support Scams 
  • Closing the Financial Literacy Gender Gap: Programs Bring Money Smarts to Women 


  • FINRA Files Complaint Charging Cantone Research Inc., President Anthony Cantone With Fraud 
  • FINRA Fines Deutsche Bank Securities Inc. $1.4 Million for Violating Regulation SHO and Short Interest Reporting Rules 
  • FINRA Fines Scottrade $2.6 Million for Significant Failures in Required Electronic Records and Email Retention 
  • FINRA Chairman and CEO Rick Ketchum to Retire in 2016 
  • FINRA Orders an Additional Five Firms to Pay $18 Million in Restitution to Charities and Retirement Accounts Overcharged for Mutual Funds

October 2015

  • Investor Alerts
    • Sorry, This One's Not a Winner: Don't Get Fooled by a Lottery Scam 
    • Investment Scams Follow in the Wake of Natural Disasters 
  • What's Trending
    • Ask & Check 
    • Social Ties Can Be Used to Commit Financial Fraud 
    • Podcast: Educate Yourself About Education Savings Accounts 
    • What to Expect When You Open a Brokerage Account 
  • FINRA News
    • FINRA Sanctions 12 Firms a Total of $6.7 Million for Failing to Apply Sales Charge Discounts to Customers' Purchases of UITs 
    • FINRA Solicits Comment on Proposed Rules Addressing Financial Exploitation of Seniors 
    • FINRA Sanctions Santander Securities LLC $6.4 Million for Supervisory Failures Related to Sales of Puerto Rican Bonds 
    • Statement Regarding New Rule to Enhance OTC Equities Transparency 
    • FINRA Expels Halcyon Cabot Partners and Bars CEO and CCO for Fraud, Sales Practice Abuses, and Widespread Supervisory and AML Failures 
    • Some Demographic Groups Under-Represented Among Investor Households, FINRA Foundation Research Finds 
    • FINRA Sanctions UBS Puerto Rico $18.5 Million for Supervisory Failures Regarding Sales of Puerto Rican Closed-End Funds and Related Loans 
    • FINRA Board Approves Rulemaking Item to Protect Seniors and Other Vulnerable Adults from Financial Exploitation 

September 2015

  • Investor Alerts
    • Messaging Apps Are Latest Platform for Delivering Pump-and-Dump Scams
    • Market Risk: What You Don't Know Can Hurt You
  • What's Trending
    • Your One-Minute Guide to Stock Volatility
    • Custodial Accounts Are Another Way to Save for College
    • Can You Recognize Investment Fraud?
  • FINRA News
    • FINRA Board Approves Rulemaking Item to Protect Seniors and Other Vulnerable Adults from Financial Exploitation
    • FINRA Sanctions 10 Former Global Arena Representatives as a Result of FINRA Crackdown on Broker Migration
    • FINRA Releases Guidance on Liquidity Risk Management Practices
    • FINRA Fines Charles Schwab & Co., Inc. $2 Million for Net Capital Deficiencies

August 2015

  • Investor Alert: Job Dislocation: Managing the Financial Impact of an Unexpected Job Loss 
  • What's Trending
    • Unregistered Penny Stocks Can Spell Big Problems 
    • What You Need to Know About Volatility 
    • Podcast: Reverse Mortgages Are Not Free Money 
    • 5 Tips to Educate Yourself About Education Savings Accounts 
  • FINRA News
    • Military Spouses Receive Fellowships to Conduct Financial Counseling 
    • FINRA Fines StockCross Financial Services, Inc. $800,000 for Regulation SHO Violations 
    • FINRA Bars Former Caldwell Broker for Churning Customer Accounts 
    • FINRA Fines Aegis Capital Corp. $950,000 for Sales of Unregistered Penny Stocks and AML Violations 
    • Firms Elect Three Industry Governors to FINRA Board of Governors, Two New Governors Appointed 
    • FINRA Fines Goldman Sachs Execution & Clearing, L.P. $1.8 Million for OATS and Trade Reporting Failures

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