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Investor Alerts

Investor Alert: Advertising for Unregistered Securities Offerings

09/23/2013

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to educate individual investors about advertisements and announcements for investment opportunities in certain securities offerings. General advertising is permitted in certain offerings as a result of rules adopted by the SEC as required by the Jumpstart Our Business Startups (JOBS) Act.Read more

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Investor Alert: Ponzi Schemes Using Virtual Currencies

07/23/2013

The SEC’s Office of Investor Education and Advocacy is issuing this investor alert to warn individual investors about fraudulent investment schemes that may involve Bitcoin and other virtual currencies.Read more

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Investor Alert:  Beware Investment Offers Implying SEC Endorsement

06/24/2013

The SEC's Office of Investor Education and Advocacy is issuing this Investor Alert to help investors identify fraudulent investment offers made by firms purporting to have met with the SEC, including in international locations (such as Dubai). SEC staff is aware of a number of fraudulent schemes where the person offering the so-called investment refers to meetings with the SEC as a way of convincing potential investors that the fraudulent investment opportunity is legitimate. The SEC does not "approve" or "endorse" any particular securities, issuers, products, services, professional credentials, firms, or individuals, and does not allow private entities to use its government seal.Read more

Investor Alert—Don’t Trade on Pump-And-Dump Stock Emails

06/12/2013

FINRA and the SEC’s Office of Investor Education and Advocacy are issuing this Investor Alert to warn investors to be on the lookout for email spam promoting “pump-and-dump” stock scams.Read more

Investor Alert: Binary Options and Fraud

06/06/2013

The SEC’s Office of Investor Education and Advocacy and the Commodity Futures Trading Commission’s Office of Consumer Outreach (CFTC) are issuing this Investor Alert to warn investors about fraudulent promotion schemes involving binary options and binary options trading platforms. These schemes allegedly involve, among other things, the refusal to credit customer accounts or reimburse funds to customers, identity theft, and manipulation of software to generate losing trades.Read more

View Document: English (pdf)