Investor Advisories
October 6, 2020
The Coronavirus is Novel but Crisis-related Scams are Nothing New
NASAA and FINRA have joined to encourage investors to proceed cautiously with new investment opportunities considering the potential for fraudsters to take advantage of the buzz surrounding companies promoting products and services related to the coronavirus pandemic.
June 3, 2020
COVID-19 Related Early Withdrawals from Retirement Accounts
The North American Securities Administrators Association (NASAA), FINRA and the staff of the SEC’s Office of Investor Education and Advocacy have joined together to provide this warning to investors about promoters targeting retirement accounts, as well as to provide a few key considerations for investors thinking of using 401(k) withdrawals or loans to purchase securities.
May 18, 2020
Informed Investor Advisory: Private Placement Offerings
Learn about the risks associated with private placement offerings.
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
