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Investor Alerts

Investor Alert: Social Media and Investing - Avoiding Fraud

01/04/2012

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help investors be better aware of fraudulent investment schemes that may involve social media. U.S. retail investors are increasingly turning to social media, including Facebook,YouTube,Twitter, LinkedIn and other online networks for information about investing.

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Investor Alert: Dormant Shell Companies – How to Protect Your Portfolio from Fraud

10/30/2014

FINRA and the SEC’s Office of Investor Education and Advocacy are issuing this alert to warn investors that some low-priced “penny” stocks that are aggressively promoted may in fact be stocks of dormant shell companies – companies that have no or nominal business operations or non-cash assets for an extended period of time. Many dormant shell companies that continue to trade in the over-the-counter (OTC) market are susceptible to market manipulation.

Investor Alert: Be on the Lookout for Advance Fee Fraud

09/09/2014

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help educate investors about advance fee fraud.

Investor Alert: 10 Red Flags That an Unregistered Offering May Be a Scam

08/04/2014

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help investors identify potentially fraudulent unregistered offerings.

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Investor Alert: Social Media and Investing -- Stock Rumors

07/25/2014

The U.S. Securities and Exchange Commission’s (SEC) Office of Investor Education and Advocacy (“OIEA”) is issuing this Investor Alert to warn investors about fraudsters who may attempt to manipulate share prices by using social media to spread false or misleading information about stocks.

Updated Investor Alert: SEC Warns of Fake Correspondence

07/11/2014

The U.S. Securities and Exchange Commission's (SEC) Office of Investor Education and Advocacy is issuing this updated Investor Alert to warn investors that fraudsters may use fake SEC correspondence as part of a scam to steal your money (including phony letters using the SEC seal and purporting to be signed by SEC Inspector General Carl Hoecker).

Investor Alert: Affinity Fraud

06/18/2014

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help educate investors about affinity fraud, a type of investment scam that preys upon members of identifiable groups, such as religious or ethnic communities or the elderly. 

What is Affinity Fraud? 

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Investor Alert: Check out Your Financial Professional

06/11/2014

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help investors identify and be aware of financial professionals that may have a history of misconduct.

Potential Red Flags for Financial Professionals

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Investor Alert: Investment Newsletters Used as Tools for Fraud

06/02/2014

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help investors avoid fraudulent schemes that may be carried out through investment newsletters.

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Investor Alert: Marijuana-Related Investments

05/16/2014

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about potential risks involving investments in marijuana-related companies. 

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