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FAQ
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Work with reputable and licensed institutions and dealers and only through products and accounts opened directly with them. Confirm their credentials and those of the investment opportunity being offered to you. Know the fraud warning signs. The higher the return promised, the higher the risk.
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FINRA is overseen by the Securities and Exchange Commission (SEC) and is authorized by Congress to protect U.S. investors by making sure the broker-dealer industry operates fairly and honestly.
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Warning Signs of Investment Fraud High Pressure Sales Tactics. ... Promises of Exorbitant Profits. ... Claims of No Risk or Minimal Risk. ... Not Answering Questions or Allowing You to Ask Questions. ... Evasive Answers and Lack of Communication. ... Claims that the Investment Doesn't Have to be Registered.
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Investment Adviser Visit FINRA BrokerCheck or call FINRA at (800) 289-9999. Or, visit the SEC's Investment Adviser Public Disclosure (IAPD) website. Also, contact your state securities regulator. Check SEC Action Lookup tool for formal actions that the SEC has brought against individuals.
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Promises of great wealth and guaranteed returns. “Everyone is buying it” pitches. Pressure to invest right now. Over-the-top, sensational pitches that may have testimonials. Unsolicited pitches seeking to obtain your personal information.
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