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Investor Alerts

Investor Alert: SEC Warns of Fake Correspondence

10/03/2013

The U.S. Securities and Exchange Commission's (SEC) Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about fraudulent solicitations using correspondence claiming to be from SEC staff and Commissioners (including phony letters using the SEC seal and purporting to be signed by Commissioner Daniel Gallagher).Read more

Investor Alert: Investment Scams Exploit Immigrant Investor Program

10/01/2013

The U.S. Securities and Exchange Commission's Office of Investor Education and Advocacy and U.S. Citizenship and Immigration Services are jointly issuing this Investor Alert to warn individual investors about fraudulent investment scams that exploit the Immigrant Investor Program, also known as "EB-5."Read more

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

View Document: English (pdf)

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

View Document: English (pdf)

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