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Investor Alerts

Updated Investor Alert: SEC Warns of Fake Correspondence

07/11/2014

The U.S. Securities and Exchange Commission's (SEC) Office of Investor Education and Advocacy is issuing this updated Investor Alert to warn investors that fraudsters may use fake SEC correspondence as part of a scam to steal your money (including phony letters using the SEC seal and purporting to be signed by SEC Inspector General Carl Hoecker).Read more

Investor Alert: Affinity Fraud

06/18/2014

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help educate investors about affinity fraud, a type of investment scam that preys upon members of identifiable groups, such as religious or ethnic communities or the elderly.Read more

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Investor Alert: Check out Your Financial Professional

06/11/2014

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help investors identify and be aware of financial professionals that may have a history of misconduct.Read more

Investor Alert: Investment Newsletters Used as Tools for Fraud

06/02/2014

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help investors avoid fraudulent schemes that may be carried out through investment newsletters.Read more

Investor Alert: Marijuana-Related Investments

05/16/2014

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about potential risks involving investments in marijuana-related companies. Read more