All: Investor Alerts & Tips

Informed Investor Advisory: Initial Coin Offerings

Initial Coin Offerings (ICOs) are attracting investors interested in new trends in technology investing. Regulation of ICOs is evolving and complex. With considerably fewer investor protections than in traditional securities markets, investors considering participating in an ICO investment should be aware of the growing potential for fraud and manipulation these offerings present. Investors need to approach ICOs with extreme caution. ICOs are very risky and are not suitable for many investors. You could lose all of your investment. Before parting with your hard-earned money, make sure you know what you’re getting into.

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Informed Investor Advisory: Cryptocurrencies

Before you jump into the crypto craze, be mindful that cryptocurrencies and related financial products may be nothing more than public facing fronts for Ponzi schemes and other frauds. And because these products do not fall neatly into the existing federal/state regulatory framework, it may be easier for the promoters of these products to fleece you. Investing in cryptocurrencies and related financial products accordingly should be seen for what it is: extremely risky speculation with a high risk of loss.

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Informed Investor Advisory: Unicorns

Unicorns are not just the stuff of fairy tales; some financial unicorns exist today. But investing in unicorns is speculative, and generally is unavailable to retail investors. Retail investors looking to bet on a unicorn may be able to do so indirectly through a mutual fund, exchange-traded fund or business development company. But beware; investing in unicorns is risky. This investment may bite.

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Informed Investor Advisory: Binary Options

In 2015, NASAA cautioned investors that binary options were on the verge of becoming the “Next Big Thing.” Since then, several regulators have issued alerts about the proliferation of online binary options platforms and the growing number of related investor complaints. The following information updates and expands NASAA’s 2015 advisory.

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Informed Investor Advisory: Escheatment

Escheatment is a process whereby the government takes ownership of property, including financial assets, that has been deemed abandoned by the property’s rightful owner. Escheatment of financial accounts typically occurs after a period of account-related dormancy (or “inactivity”) and after attempts to identify and contact the account owners have failed.

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Informed Investor Advisory: EB-5 Fraud

Under the EB-5 program, foreign investors who meet certain eligibility requirements can apply for conditional resident alien status (i.e., a conditional “green card”) in the United States by investing in the American economy. The EB-5 program has increased in popularity in recent years and with it has come increased allegations of fraud.

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Informed Investor Advisory: Pension Advance Scams

In many ways, this current scam is similar to earlier scams involving viatical and life settlement holders. Both involve people holding entitlements to large amounts of money who need cash fast. Scammers offer to purchase the rights to those cash entitlements at a discount and then seek to sell investment interests in these rights to investors.

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Informed Investor Advisory: Third-Party Asset Recovery Companies

Victims of investment scams are wise to use caution if approached by companies promising to help them recover their lost investment funds and bring the perpetrators to “justice.”

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Informed Investor Advisory: The Next Big Thing

Are you an informed investor? The Next Big Thing At first glance, marijuana, binary options, and digital currency appear to have no real connection to one another. But what they all have in common is their recent emergence as three investments that both sellers and buyers hope will become the “next big thing.”  Before you consider investing, make […]

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Informed Investor Advisory: Understanding Broker-Dealer Fees

Savvy consumers know it is important to compare prices on similar products to get the best value for their money. Wouldn’t it be nice if the same were true when shopping for a broker-dealer firm to handle your investments?

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