All: Scams & Frauds

Informed Investor Advisory: Crowdfunding

The Internet is a popular way for individuals and businesses to raise money. In 2012, Congress passed the JOBS Act, which directed the Securities and Exchange Commission (SEC) to formulate rules to exempt investment crowdfunding from the securities registration laws. These rules went into effect in May 2016 and eased restrictions on start-up companies that […]

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Informed Investor Advisory: Social Networking

Social networking in the Internet age allows people to connect to one another
more quickly and easily than ever before. Investment promoters increasingly are
logging on to find investors … and their money.

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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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Investment Fraud Awareness Quiz

Take our 12-question quiz and learn what you can do to avoid becoming a victim of investment fraud.

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NASAA Fraud Center

Education and awareness are an investor’s first line of defense against investment fraud.

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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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Women in Transition

Tools to empower women investors to take control of their financial futures.

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Sandwich Generation: Red Flags of Investing

Members of the Sandwich Generation, their elderly family members and their children should watch for these red flags when considering an investment opportunity.

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