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Investor Alerts

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

Updated Investor Alert: Social Media and Investing -- Stock Rumors

11/05/2015

The U.S. Securities and Exchange Commission’s (SEC) Office of Investor Education and Advocacy (“OIEA”) is issuing this Investor Alert to warn investors about fraudsters who may attempt to manipulate share prices by using social media to spread false or misleading information about stocks.Read more

Investor Alert: Be on the Lookout for Investment Scams Related to the Recent Historic Rain and Flooding

10/09/2015

The SEC's Office of Investor Education and Advocacy is issuing this Investor Alert to help educate investors, including individuals who may receive lump sum payouts from insurance companies and others following the recent historic rainfall and flooding in and around South Carolina, about investment fraud.Read more

Investor Alert: Investment-Related Radio Programs Used to Defraud

09/23/2015

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to provide investors with an overview of fraudulent schemes that may be carried out through radio programs.Read more

Investor Alert: Identity Theft, Data Breaches and Your Investment Accounts

09/22/2015

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to provide investors with important steps to take regarding their investment accounts if they become victims of identity theft or a data breach. Investors should always take steps to safeguard their personal financial information (e.g., social security number, financial account numbers, phone number, e-mail address, or usernames and passwords for online financial accounts). However, if identity theft or a data breach compromises your personal financial information, here are some important steps to take immediately.Read more