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Investor Alerts

Investor Alert:  Beware Investment Offers Implying SEC Endorsement


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


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


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

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Investor Alert: SEC Warns of Bogus Securities Regulators Soliciting Investors


Securities and Exchange Commission staff is issuing this Investor Alert in response to a number of fraudulent solicitations currently underway that purport to be affiliated with or sponsored by the federal government and legitimate securities regulators. If you are contacted by an organization calling itself the "Chicago Division of Securities," the "Division of Securities, Chicago Illinois," the "Federal Division of Securities, New York" or the "New York Securities Division," be aware that they are not affiliated with the Securities and Exchange Commission and are not legitimate securities regulators. They are scams.Read more

Investor Alert: Private Oil and Gas Offerings


The SEC's Office of Investor Education and Advocacy is issuing this alert to educate individual investors about certain risks and possible fraudulent activity involving private offerings of securities for oil and gas ventures.Read more

View Document: English (pdf)