Scams & Frauds

Topic
Year
May 15, 2012

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 […]
September 19, 2011

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.
August 31, 2011

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.
August 16, 2011

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.
August 16, 2011

How to Avoid Becoming a Victim

Avoiding being hurt by a con artist is as easy as doing your homework -- before you invest.
August 16, 2011

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.
August 11, 2011

Women in Transition

Tools to empower women investors to take control of their financial futures.
August 11, 2011

Sandwich Generation: Red Flags

Members of the Sandwich Generation, their elderly family members and their children should watch for these red flags when considering an investment opportunity.
August 11, 2011

Sandwich Generation: Common Investment Scams

Members of the Sandwich Generation who are feeling the squeeze of their children't educational expenses and their elderly parents' needs may be vulnerable to shady tactics.
August 11, 2011

United Against Investment Fraud

Learn how to recognize and avoid scams targeting unions or associations.