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Investor Alerts

SEC-FINRA Investor Alert on Leveraged and Inverse ETFs

08/18/2009

Leveraged and Inverse ETFs: Specialized Products with Extra Risks for Buy-and-Hold Investors

English Version
Link to document (english): 
/sites/default/files/Leveraged%20and%20Inverse%20ETFs.pdf

View Document: English

Information Concerning Malaysian Restitution Fund for SwissCash Investors

12/22/2009

This Alert concerns a restitution fund established by the Securities Commission Malaysian (“Malaysian SC”) in a settlement involving various entities operating under the name “Swisscash”, including “Swiss Mutual Fund (1948),” and through websites encompassing variations on the names “Swisscash” and “SwissMutualFund.”

Investors Beware of Phony SIPC “Look-Alike” Website Targeting Madoff Victims

03/09/2010

The SEC is warning investors about a website that falsely claims that $1.3 billion in Madoff money has been found in Malaysia and encourages individuals to submit information to verify that they are on a refund list. The website was created as a fake mirror image of the Securities Investor Protection Corporation’s (SIPC) website.

Oil Spill Stock Scams - Don’t Get Cleaned Out by False Cleanup Claims

05/26/2010

The oil spill in the Gulf of Mexico poses more than an environmental and economic threat to the region. It also poses a financial threat to investors in the form of scams promising financial gains from investments in companies that claim to be involved in cleanup operations.

Information for Stanford Investors

03/12/2009

On March 12, 2009, U.S. District Court Judge David C. Godbey issued an order at the request of Stanford court-appointed receiver Ralph S. Janvey unfreezing approximately 16,000 Stanford investor accounts at Pershing LLC and J.P. Morgan Clearing Corp., unless an exception described in the order applies.

BP Payout Recipients: Be on the Lookout for Investment Scams

10/13/2010

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help educate investors, including individuals and small businesses receiving lump sum payouts from BP related to the oil spill in the Gulf, about potential investment frauds that target recipients of lump sum payouts.

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