FINRA Investor Alerts

  • Binary Options Follow-Up Schemes: Don’t Lose Money Twice March 16, 2017
    FINRA is issuing this alert to warn anyone involved in binary options trading—specifically through unregistered non-U.S. companies offering binary options trading platforms or services—to be on guard for potential follow-up frauds.
  • Updated: Duration—What an Interest Rate Hike Could Do to Your Bond Portfolio March 6, 2017
    If you own bonds or have money in a bond fund, there is a number you should know. It is called duration. Although stated in years, duration is not simply a measure of time. Instead, duration signals how much the price of your bond investment is likely to fluctuate when there is an up or down movement in interest rates. The higher the duration number, the mor […]
  • Updated: Customer Advisory Centers—What Investors Need to Know January 19, 2017
    This Investor Alert focuses on a type of call center called a customer advisory center. It is a center that is staffed by securities professionals who may provide financial planning services, sell securities products, and receive commissions or other financial incentives for doing so. These centers have become common and, in some instances, can be sales-orie […]
  • Inherited IRAs—What You Need to Know January 3, 2017
    FINRA is issuing this alert to inform brokerage account holders, family members and other beneficiaries about inherited IRAs. We also provide tips for making the IRA inheritance process as efficient and trouble-free as possible.
  • Public Non-Traded REITs—Perform a Careful Review Before Investing November 30, 2016
    FINRA is reissuing this Alert because of concern—reflected in a recent enforcement action—that some investors may be the recipients of misleading information regarding certain public non-traded REITS. Some investors may also receive recommendations to purchase these products without adequate investigation by the firm or individual broker to determine whether […]