FINRA Investor Alerts

  • Updated: Five Do’s and Don’ts That Can Help You Achieve Greater Financial Security September 25, 2017
    Drawing on the findings of the FINRA Investor Education Foundation's National Financial Capability Study of more than 25,000 American adults, the FINRA Foundation has developed five tips to help consumers both manage their day-to-day financial challenges and build a brighter financial future.
  • Beware of Stock Fraud in the Wake of Hurricane Harvey August 31, 2017
    Financial fraud routinely follows on the heels of disaster. Hurricane Harvey and the historic flooding it left it its wake is no exception. We are issuing this Alert to warn investors that investment scams may come your way touting stocks and other investments with the promise of huge gains in the wake of Harvey. This Investor Alert explains how to spot and […]
  • Initial Coin Offerings: Know Before You Invest August 31, 2017
    FINRA has issued a new alert to inform investors about the potential risks of participating in Initial Coin Offerings, or ICOs. Investors should be aware that ICOs differ significantly from initial public offerings (IPOs). Unlike stocks, ICOs typically confer no ownership rights in the company; and unlike bonds, ICOs do not involve investors lending money to […]
  • Fake Online Job Interviews: Terminate Before It’s Too Late July 6, 2017
    Some companies and recruiters use online video call technologies such as Skype as a convenient and cost-effective way to interview job applicants. Unfortunately, fraudsters are using them too, and they aren't looking to offer you a job. FINRA is issuing this Alert to warn the public that individuals claiming to be involved in the hiring process for legi […]
  • Updated: Crowdfunding and the JOBS Act: What Investors Should Know May 17, 2017
    "Crowdfunding" generally refers to the use of the Internet by small businesses to raise capital through limited investments from a large number of investors. Under SEC rules, the general public can invest in capital raising by start-up companies. This advisory is designed to help the public understand the crowdfunding rules and processes so they ca […]