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Investor Alerts

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.Read more

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.”Read more

SEC-FINRA Investor Alert on Leveraged and Inverse ETFs

08/18/2009

The SEC staff and FINRA are issuing this Alert because we believe individual investors may be confused about the performance objectives of leveraged and inverse exchange-traded funds (ETFs). Read more

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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.Read more