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Investor Alerts

Cobell Indian Trust Settlement Payout Recipients - Be on the Lookout for Investment Scams

07/29/2011

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help educate investors, including individuals receiving lump sum payouts from the federal government in connection with the $3.4 billion Indian Trust Settlement, about potential investment frauds that target recipients of lump sum payouts.

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Pre-IPO Investment Scams

03/18/2011

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn you about investment scams that purport to offer investors the opportunity to buy pre-IPO shares of Facebook, Twitter, Groupon, or other popular companies. SEC staff is aware of a number of complaints and inquiries about these types of pre-IPO investment scams, which may be promoted on social media and Internet sites, by telephone, email, in person, or by other means.

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

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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.

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