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Recent Posts in Investor Alert Category

27 results found. Viewing page 1 of 2. Go to page 1 2   Next

FINRA Warned of Volatility-Linked ETNs Before February Stock Market Plunge

A CNBC report traced the source Wall Street's recent rout—including a single-day Dow Jones loss of over 1,000 points—in part, to volatility-linked exchange-traded notes (ETNs) that ...
Continue reading "FINRA Warned of Volatility-Linked ETNs Before February Stock Market Plunge" »

Unsuitable and Risky Oil and Gas Sales and Plummeting Energy Investments Cost Elderly Clients Millions of Dollars in Losses

The once-boisterous oil and gas sector has dramatically cooled, translating into multi-million dollar losses for investors improperly sold these risky products and leaving a flurry of frozen calls ...
Continue reading "Unsuitable and Risky Oil and Gas Sales and Plummeting Energy Investments Cost Elderly Clients Millions of Dollars in Losses" »

Crowdfunding Fraud is Possible, Cautions FINRA in News Release for New Startup Investment Opportunities

May 16 marks a new era of financial opportunity as investors may now buy securities in early-stage small businesses through crowdfunding, a company's method of raising capital through limited ...
Continue reading "Crowdfunding Fraud is Possible, Cautions FINRA in News Release for New Startup Investment Opportunities" »

FINRA Issues Investment Alert for Bait-and-Switch Marketing Ploy Involving High-Yield CD Offers

FINRA issued an investment alert regarding advertisements promoting high yield CDs that offer rates significantly higher than other bank products, warning investors that such an ad may instead be a ...
Continue reading "FINRA Issues Investment Alert for Bait-and-Switch Marketing Ploy Involving High-Yield CD Offers" »

New FINRA Investor Alert Warns of All-or-Nothing or Binary Options Trading Fraud Risk

FINRA issued an investor alert on binary options trading, pointing to similar Commodity Futures Trading Commission (CFTC) and SEC alerts that already warn investors as to the dangers and extreme risk ...
Continue reading "New FINRA Investor Alert Warns of All-or-Nothing or Binary Options Trading Fraud Risk" »

Investor Alert Warns of Pump-And-Dump Scams Delivered Through WhatsApp, Other Messaging Apps

FINRA issued an alert warning investors of bogus stock promotions and other solicitations sent via messaging apps for mobile devices such as iPhones and Androids such as the popular WhatsApp. ...
Continue reading "Investor Alert Warns of Pump-And-Dump Scams Delivered Through WhatsApp, Other Messaging Apps" »

Transacting Bonds: Liquidity, Risk of Loss Target of New FINRA Investor Alert

FINRA issued a new Investor Alert regarding bond liquidity, providing investors with a basic overview on how bonds are bought and sold, and factors that may influence bond liquidity and its impact on ...
Continue reading "Transacting Bonds: Liquidity, Risk of Loss Target of New FINRA Investor Alert" »

SEC to Fight Financial Elder Abuse and Fraud by Upping Broker and Advisor Oversight in Retirement Accounts

The SEC is increasing scrutiny in its reviews of retirement account and investments targeted to seniors, releasing a "National Exam Program Risk Alert" vowing to focus on brokers and ...
Continue reading "SEC to Fight Financial Elder Abuse and Fraud by Upping Broker and Advisor Oversight in Retirement Accounts" »

High Yield Bonds, Stocks, and ETFs in Grave Jeopardy as Oil Bubble Poised to Burst

With crude oil prices falling below $50 a barrel, high yield oil stocks are becoming more and more susceptible to a meltdown triggered by oil prices that have plunged by over 50% since 2014's ...
Continue reading "High Yield Bonds, Stocks, and ETFs in Grave Jeopardy as Oil Bubble Poised to Burst" »

Risks and Rewards Abound for Closed-End Funds

Closed-end funds (CEFs) can be popular vehicles for portfolio diversification in the long-term, although these funds come with certain volatility risks. CEFs are primarily designed for clients with ...
Continue reading "Risks and Rewards Abound for Closed-End Funds" »

NASAA Names Top 9 Investor Threats for 2015

The North American Securities Administrators Association (NASAA), whose membership consists of securities administrators across all 50 states, territories, Canada and Mexico, released its top nine ...
Continue reading "NASAA Names Top 9 Investor Threats for 2015" »

SEC and FINRA Issue Joint Penny Stock Scam Investment Alert

FINRA and the SEC issued an alert warning investors of certain penny stocks being aggressively promoted as great investment opportunities when, in fact, they are little more than stocks of dormant ...
Continue reading "SEC and FINRA Issue Joint Penny Stock Scam Investment Alert" »

FINRA Releases Frontier Funds Investment Alert

FINRA issued an alert to investors interested in frontier funds, which are products that operate in developing markets (e.g., "the frontier"). Of concern is that because these developing ...
Continue reading "FINRA Releases Frontier Funds Investment Alert" »

Disease Investment Scam Tips: How to Identify and Avoid Fraudulent Scheme Infection

With Ebola, Middle East Respiratory Syndrome (MERS), West Nile Virus and other viral outbreaks dramatized by news media, stock scammers have taken to capitalizing on fears of a potential pandemic, ...
Continue reading "Disease Investment Scam Tips: How to Identify and Avoid Fraudulent Scheme Infection" »

FINRA Reports Increase in Online Phishing Identify Theft Scams: Identifying the Risks

Scams that use spam e-mails, fake websites and other online trickery to con investors into disclosing personal information such as bank or investment account information, PINs, passwords and social ...
Continue reading "FINRA Reports Increase in Online Phishing Identify Theft Scams: Identifying the Risks" »

Concentration Risk: The Implications of Putting All Your Eggs in One Basket

Concentration risk occurs when a large portion of a portfolio's holdings is in a particular investment relative to the overall portfolio. This can be caused or perpetuated through: >> ...
Continue reading "Concentration Risk: The Implications of Putting All Your Eggs in One Basket" »

FINRA Issues Investment Alert Targeting High-Yield CD Scams

FINRA issued an investment alert warning investors of "too good to be true" certificates of deposit (CD) promotions promising substantially higher-than-average interest rates and yields. ...
Continue reading "FINRA Issues Investment Alert Targeting High-Yield CD Scams" »

Four Risky & Sometimes Dangerous Investments to Avoid in 2014

One week removed from FINRA's 2014 Business Conduct Priorities release, which discussed suitability and identified areas that concerned regulators, Forbes has taken the advisory notice a step ...
Continue reading "Four Risky & Sometimes Dangerous Investments to Avoid in 2014" »

Closed-End Fund Distributions FINRA Investor Alert Issued: Points to Consider

FINRA issued an investor alert this week titled " Closed-End Fund Distributions: Where is the Money Coming From? " in which it discusses the difference between a closed-end fund versus a ...
Continue reading "Closed-End Fund Distributions FINRA Investor Alert Issued: Points to Consider" »

NASAA Calls Out New Scams, Rotates Five of Top 10 Investor Threats

The North American Securities Administrators Association (NASAA) added five new schemes to its list of top threats to investors. Leading the pack of new threats are proxy trading accounts, in which ...
Continue reading "NASAA Calls Out New Scams, Rotates Five of Top 10 Investor Threats" »

Private Placement Offerings Require Research and Contemplation of Risk

FINRA issued an investor alert Tuesday regarding private placements and the risks inherent in such securities. The private placement alert warns of the dangers of investing in such non-public ...
Continue reading "Private Placement Offerings Require Research and Contemplation of Risk" »

FINRA Alert: Beware Cold Calls from Brokerage Firm Imposters, New Phishing Schemes

FINRA issued an Investor Alert on August 6, 2013, warning investors of unsolicited or "cold" telephone calls from persons professing to represent an investment firm. It warns that the person ...
Continue reading "FINRA Alert: Beware Cold Calls from Brokerage Firm Imposters, New Phishing Schemes" »

FINRA's TRACE Program to Increase Transparency of Mortgage-Backed Securities Market

FINRA Monday announced an accelerated effort to "significantly" increase transparency in Fannie Mae-, Freddie Mac- and Ginnie-Mae issued mortgage-backed securities through the Trade ...
Continue reading "FINRA's TRACE Program to Increase Transparency of Mortgage-Backed Securities Market" »

SEC & FINRA Joint Alert: Beware Pump-and-Dump Scams via E-mail Spam

The SEC and FINRA are warning investors of dangerous investment-related e-mail spam that promotes a securities fraud scheme known as "pump-and-dump." In the alert, regulators warn of ...
Continue reading "SEC & FINRA Joint Alert: Beware Pump-and-Dump Scams via E-mail Spam" »

FINRA Investor Alert: Alternative Mutual Funds Can Carry Added Risks

FINRA issued an industry-wide alert to investors regarding alternative mutual funds, which are separate and distinct from what FINRA describes as "typical" mutual funds. Alternative mutual ...
Continue reading "FINRA Investor Alert: Alternative Mutual Funds Can Carry Added Risks" »
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