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Avoid Fraud & Scams

Many individuals contact the Office of the Ombudsman about fraudulent schemes. Some of the schemes are imposter scams that involve people fraudulently pretending to be FINRA staff in order to obtain account or other sensitive information. Others are advance fee schemes: investors are told they must pay a fee in advance to redeem their funds, but they never receive the promised funds. Unfortunately, many investors are subject to investment fraud, identity theft, and other scams. Please keep in mind that FINRA is a government-authorized not-for-profit organization that oversees the U.S. brokerage industry and would never ask investors for money.

Here are some resources that address investor fraud and scams.

Fraud Alert February 2023/Alerta de Fraude Febrero 2023

There is an ongoing phishing campaign that involves fraudulent emails claiming to be from FINRA, using domain names “” and “”. Those domains are not connected to FINRA. Learn more: Cybersecurity Alert.

FINRA le avisa de una campaña de phishing en curso, o una técnica de ingeniería social que se usa para la suplantación de identidad, que involucra correos electrónicos fraudulentos que pretenden ser de FINRA utilizando nombres de dominio “” y “”. Esos dominios no están conectados a FINRA.  Para más información: Cybersecurity Alert.



Fraud Alert November 2022/Alerta de Fraude Noviembre 2022

If you receive an unsolicited email request from FINRA for account information, you can validate the request by contacting FINRA at [email protected] FINRA will never ask investors for payment. If you receive communication from a “Sthepanie Roberts” in FINRA’s Office of the Ombudsman, this is a fraudulent email. For additional information, please visit Don’t Fall for “Regulator” Imposter Ploys.

Si recibe un correo electrónico no solicitada de FINRA, pidiendo información personal o de su cuenta, por favor valide la solicitud comunicándose con FINRA en [email protected] FINRA nunca solicitará pago or quotas a los inversionistas. Si recibe una comunicación de una “Sthepanie Roberts” en la Oficina del Ombudsman de FINRA, este es un correo electrónico fraudulento. Para más información, visite Don't Fall for "Regulator" Impostor Ploys.




Keep up to date with investor information about scams provided by FINRA, SEC, NASAA, FTC, and other regulators.

Before providing sensitive information or money, use BrokerCheck® to check if the person or firm is registered to sell securities or offer investment advice.

Protect Your Money provides additional resources for avoiding fraud and scams.