finra investor alert
Tag Archive

  • Essential Investor Tips for 2019

    investor tips

    December 28, 2018 Comments (0) Blog

     FINRA – Essential Investor Tips for 2019 The Financial Industry Regulatory Authority (FINRA) just released an Investor Alert on essential investor tips for 2019. Begin your retirement planning. If you continue to wait until you have enough money to save for retirement, you may never save a dime. Talk to your

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  • Investor Alert: Follow Up Scams

    Follow up scams

    September 26, 2016 Comments (0) Blog, Securities Fraud

    Financial Losses with Follow Up Scams The Financial Industry Regulatory Authority (FINRA) recently issued an alert to warn investors, particularly investors who live outside the U.S., that offers to recover money lost from securities investments may be fraudulent (follow up scams). Both FINRA and the SEC routinely

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  • FINRA Wants “Senior Designations” to Have Real Meaning

    November 17, 2011 Comments (0) Blog, Securities Fraud

    According to a recent investmentnews.com article the Financial Industry Regulatory Authority (FINRA) “is warning firms about the use of designations implying special expertise in working with older investors.” FINRA performed a survey in 2011 about the use of “senior designations.” They surveyed 157 firms that

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  • FINRA Warns Investors to be Careful Investing in Gold Stocks

    September 19, 2011 Comments (3) Blog, Securities Fraud

    FINRA recently released an investor alert encouraging investors to be extra cautious in investing in Gold related investment products.  FINRA notes that current high gold prices have “sparked considerable interest in gold investing, not to mention aggressive marketing and advertising of gold investments, including

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