All: Investor Alerts & Tips

Top Investor Threats

The top 10 financial products and practices that threaten to trap unwary investors, compiled by the securities regulators in NASAA’s Enforcement Section.

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How to Check Out Your Broker or Investment Adviser

State securities regulators should be the first call for an investor before you turn over any money to a broker or investment adviser.

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How to Avoid Becoming a Victim

Avoiding being hurt by a con artist is as easy as doing your homework — before you invest.

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How to Spot a Con Artist

Investing in securities is risky enough without worrying about whether your salesperson is going to fleece you. To be an informed investor, you must know what danger signs to look for.

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Informed Investor Alert: Annuities

Annuities are complex products that may combine the characteristics of insurance and investment securities. Because of their hybrid nature, annuities are sometimes marketed as one-size-fits-all products. This is simply not true.

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Informed Investor Alert: Derivatives

Before you invest in any of these sophisticated financial products, you should thoroughly understand the risks involved.

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Informed Investor Alert: Gold

Gold seems like a very tempting investment, but before jumping onto the gold bandwagon, there are a few things you might want to consider.

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Informed Investor Alert: Peer-to-Peer Lending

Peer–to-peer lending is an emerging online financial service also known as social lending, person-to-person lending or P2P.

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Informed Investor Advisory: Franchises

Some people believe that owning a franchise is a safe and easy way to start a successful business, but buying a franchise can be risky, and there is no guarantee of success, especially in an uncertain economy. If you are thinking of investing in a franchise, you must educate yourself before you buy.

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Informed Investor Advisory: Exchange Traded Funds

ETFs have grown increasingly popular among retail investors seeking safe, stable alternatives to mutual funds. Before investing in an ETF, check under the hood.

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