Investor Advisories
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
Informed Investor Advisory: Cross-Selling
Cross-selling by banks and investment firms is a growing concern for securities regulators. At its best, this is a way for banks or investment firms to inform clients about the range of financial products and services available. At its worst, this common sales technique can take advantage of loyal clients.
April 9, 2019
Informed Investor Advisory: Robo-Advisers
Easy-to-use smartphone apps and online portals make setting up an account with a robo-adviser convenient and quick, which is contributing to their increasing popularity. For those considering a robo-adviser, it is best to take it slow and ensure this type of service meets your short- and long-term investing needs.
November 15, 2018
Informed Investor Advisory: Promissory Notes
Promissory notes are at the heart of many different types of investment scams. Investors may mistakenly believe the written guarantee is “proof” of the deal’s legitimacy and that it offers the investor protections that other investments do not.
October 15, 2018
Informed Investor Advisory: Marijuana-related Investments
Are you an informed investor? Marijuana-Related Investments: Greener Pastures or Just Another Scam? You know the pitch – “Don’t miss out on this once-in-a-lifetime investment opportunity with greener pastures right on the horizon!” Investments in budding marijuana business ventures are becoming more prevalent and are receiving increased media coverage. Scammers are using the media buzz […]
April 16, 2018
Informed Investor Advisory: Initial Coin Offerings
Initial Coin Offerings (ICOs) are attracting investors interested in new trends in technology investing. Regulation of ICOs is evolving and complex. With considerably fewer investor protections than in traditional securities markets, investors considering participating in an ICO investment should be aware of the growing potential for fraud and manipulation these offerings present. Investors need to approach ICOs with extreme caution. ICOs are very risky and are not suitable for many investors. You could lose all of your investment. Before parting with your hard-earned money, make sure you know what you’re getting into.
April 13, 2018
