Skip to content

Font size: A- | A | A+ Logo for Print
Press Alt + shift + h then Enter to skip to secondary navigation. Mac users press Control + shift + h

Investor Alerts

Investor Alert: “Prime Bank” Investments Are Scams


The SEC’s Office of Investor Education and Advocacy (OIEA) is issuing this Investor Alert to warn investors about fraudulent investment schemes involving purportedly high-yield, risk-free international finance programs.Read more

Alerta al inversionista actualizada: Las redes sociales y la inversión: Cómo evitar fraudes


La Office of Investor Education and Advocacy de la SEC publica esta Alerta para el Inversionista para ayudarlos a tomar consciencia de los sistemas de inversión fraudulentos que podrían involucrar redes sociales. Los inversionistas minoristas de Estados Unidos están recurriendo cada vez más a las redes sociales, incluyendo Facebook, YouTube, Twitter, LinkedIn y otras redes en línea para obtener información sobre cómo invertir. Las redes sociales se han convertido en una herramienta clave para los inversionistas estadounidenses, ya sea para investigar acciones particulares, investigar antecedentes de los agentes, corredores de bolsa o asesores de inversiones, como guía sobre las estrategias globales de inversión, para obtener noticias actualizadas o simplemente para hablar de los mercados con otras personas.Read more

Investor Alert: Investment Scams Involving Ebola-Related Companies


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

Updated Investor Alert: Social Media and Investing - Avoiding Fraud


The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help investors be better aware of fraudulent investment schemes that may involve social media. U.S. retail investors are increasingly turning to social media, including Facebook, YouTube, Twitter, LinkedIn and other online networks for information about investing. Whether it be for research on particular stocks, background information on a broker-dealer or investment adviser, guidance on an overall investing strategy, up-to-date news, or to simply discuss the markets with others, social media has become a key tool for U.S. investors.Read more

Investor Alert: Dormant Shell Companies – How to Protect Your Portfolio from Fraud


FINRA and the SEC’s Office of Investor Education and Advocacy are issuing this alert to warn investors that some low-priced “penny” stocks that are aggressively promoted may in fact be stocks of dormant shell companies – companies that have no or nominal business operations or non-cash assets for an extended period of time. Many dormant shell companies that continue to trade in the over-the-counter (OTC) market are susceptible to market manipulation. This alert follows action by the SEC to suspend trading in 255 dormant shell companies in February 2014 and subsequent suspensions of other thinly traded penny stocks.Read more