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Investor Alerts

Updated Investor Alert: SEC Warns of Government Impersonators

04/16/2013

SEC staff is issuing this updated Investor Alert because we are aware of continuing fraudulent solicitations that purport to be affiliated with or sponsored by the Securities and Exchange Commission (including a recent bogus email scam using the name of Lori Schock, Director of the SEC’s Office of Investor Education and Advocacy).Read more

Updated Investor Alert: SEC Warns of Government Impersonators

11/29/2012

SEC staff is issuing this updated Investor Alert because we are aware of continuing fraudulent solicitations that purport to be affiliated with or sponsored by the Securities and Exchange Commission, Commission staff, as well as particular Commissioners (including a recent bogus email scam using the name of Commissioner Daniel Gallagher).Read more

Investor Alert: Pre-IPO Investment Scams (Updated)

04/24/2012

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

Investor Alert: Investment Seminars – Trading Seminar Scams

10/25/2011

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors of potential scams they may encounter at investment seminars that purport to teach investors trading strategies that will allow them quickly and easily to make money trading securities.Read more

Investor Alert: Self-Directed IRAs and the Risk of Fraud

09/23/2011

The SEC’s Office of Investor Education and Advocacy (OIEA) and the North American Securities Administrators Association (NASAA) are issuing this Investor Alert to warn investors of the potential risks associated with investing through self-directed Individual Retirement Accounts (self-directed IRAs).Read more

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