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Investor Alerts

Investor Alert: Beware of Government Impersonators Targeting Fraud Victims

06/27/2016

The SEC’s Office of Investor Education and Advocacy (OIEA) is issuing this Investor Alert because we are aware of communications, including official looking documents, that falsely claim to be issued by the Securities and Exchange Commission and seek money from investors who have already been victims of fraud.Read more

Updated Investor Alert: Fraudulent Stock Promotions

03/29/2016

The SEC’s Office of Investor Education and Advocacy is issuing this Updated Investor Alert to warn investors about fraudsters who promote a stock to drive up the stock price and then sell their own shares at the inflated price, making money at investors’ expense.Read more

Investor Alert: Zika Crisis May Give Rise to Investment Scams

03/09/2016

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about potential investment scams involving companies that claim their products or services relate to the Zika virus.Read more

Updated Investor Alert: SEC Warns of Government Impersonators

02/09/2016

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 scams that make phony claims of endorsement by senior officials at the SEC.Read more

Investor Alert: Securities-Backed Lines of Credit

12/21/2015

An increasing number of securities firms are marketing and offering securities-backed lines of credit, or SBLOCs, to investors. SBLOCs can be a key revenue source for securities firms, especially in times of solid market returns and growing investment portfolios, when investors may feel more comfortable leveraging their assets. Firms market SBLOCs as a type of financing and liquidity strategy that can unlock the value of your investment portfolio. Between 2012 and 2014, one large brokerage firm that offers these programs reported a 70 percent increase in its securities-based lending business, while another firm reported an over 50 percent increase.Read more