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Investor Advisories

Topic
Year
December 18, 2019

Informed Investor Advisory: Bond Ratings

December 18, 2019

It Pays to Pay Attention to Your Brokerage Account Statements

November 12, 2019

Informed Investor Advisory: Affinity Fraud

Learn the warning signs of a type of investment fraud known as “affinity fraud” and how to help avoid becoming a victim.
August 19, 2019

Informed Investor Advisory: Contracts For Difference

A contract for difference (CFD) is offered as an alternative to traditional financial instruments used to speculate on financial markets. These types of investments generally are available only to very high net worth individuals or institutional investors. CFDs may be marketed to retail investors by scammers looking to make a quick profit.
July 24, 2019

Informed Investor Advisory: Initial Loan Procurement

July 22, 2019

Informed Investor Advisory: Opportunity Zone Investments

Opportunity zones encourage longer-term investments in low-income U.S. communities by providing certain tax benefits to investors. Investors may be attracted to opportunity zone investments for the potential tax benefits and promise of return on investment. Investors should weigh various factors before deciding to invest. Just because an investment is available in an opportunity zone does not automatically make it right for you.
April 23, 2019

Informed Investor Advisory: Cross-Selling

Cross-selling by banks and investment firms is a growing concern for securities regulators. At its best, this is a way for banks or investment firms to inform clients about the range of financial products and services available. At its worst, this common sales technique can take advantage of loyal clients.
April 9, 2019

Informed Investor Advisory: Robo-Advisers

Easy-to-use smartphone apps and online portals make setting up an account with a robo-adviser convenient and quick, which is contributing to their increasing popularity. For those considering a robo-adviser, it is best to take it slow and ensure this type of service meets your short- and long-term investing needs.
November 15, 2018

Informed Investor Advisory: Promissory Notes

Promissory notes are at the heart of many different types of investment scams. Investors may mistakenly believe the written guarantee is “proof” of the deal’s legitimacy and that it offers the investor protections that other investments do not.
October 15, 2018

Informed Investor Advisory: Marijuana-related Investments

Are you an informed investor? Marijuana-Related Investments: Greener Pastures or Just Another Scam? You know the pitch – “Don’t miss out on this once-in-a-lifetime investment opportunity with greener pastures right on the horizon!” Investments in budding marijuana business ventures are becoming more prevalent and are receiving increased media coverage. Scammers are using the media buzz […]