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Investor Alerts

FINRA Investor Alerts

Retirement Accounts

Job Dislocation: Managing the Financial Impact of Unexpected Job Loss (8/7/08)

Weathering Tough Financial Times--The Long-term Costs of Quick Cash (6/26/08)

401(k) Debit Cards--Think Before You Swipe (5/29/08)

Frauds and Scams

Well-Traveled Fraud—Advance-Fee Scams Target Non-U.S. Investors Using Fake Regulator Web Sites and False Broker Identities (5/15/08)

Beware of Online Job Classifieds Used to Steal Your Identity (5/12/08)

Trading Securities

Auction Rate Securities: What Happens When Auctions Fail (4/30/08)

Bonds

Catastrophe Bonds and Other Event-Linked Securities (4/24/08)

Annuities and Insurance

Equity-Indexed Annuities—A Complex Choice (4/22/08)

Retirement Accounts

Reverse Mortgages: Avoiding a Reversal of Fortune (3/13/08)

Frauds and Scams

Keeping Your Account Secure: Tips for Protecting Your Financial Information (1/28/08)

Save Your Energy and Money—Don't Fall for Energy Stock Scams (10/23/07)

"Free Lunch" Investment Seminars—Avoiding the Heartburn of a Hard Sell (9/10/07)

Retirement Accounts

Putting too Much Stock in Your Company—A 401(k) Problem (9/6/07)

Frauds and Scams

"China" Stocks—Look Beyond the Name Before You Invest (4/23/07)

Trading Securities

Market Risk: What You Don't Know Can Hurt You (4/16/07)

Mutual Funds

Systematic Investment Plans—Educate Yourself Before You Enlist (4/12/07)

Margin and Borrowing

Investing with Borrowed Funds: No "Margin" for Error (4/10/07)

Annuities and Insurance

Seniors Beware: What You Should Know About Life Settlements (2/8/07)

529 Plans

College Savings Plans—School Yourself Before You Invest (11/7/06)

Frauds and Scams

"I hope this is your email" Scam Offers No Hope of Profits (11/6/06)

Retirement Accounts

Look Before You Leave: Don't Be Misled By Early Retirement Investment Pitches That Promise Too Much (9/14/06)

Frauds and Scams

"Dash" Gov Sites Part of Ploy to Dash Off With Your Money (7/11/06)

Retirement Accounts

Think Twice Before Cashing Out Your 401(k) (4/26/06)

Trading Securities

Customer Advisory Centers: Not Your Typical Securities Firm Call Center (3/15/06)

Annuities and Insurance

Should You Exchange Your Variable Annuity? (3/2/06)

Frauds and Scams

Bird Flu Stock Scam Could Be Hazardous to Your Financial Health (12/28/05)

Beware of "Hot" Stock Tips on Your Cell Phone (12/13/05)

Beware of Stock Fraud in the Wake of Hurricane Katrina (9/16/05)

Stock Spams and Scams (9/16/05)

Trading Securities

Protect Your Online Brokerage Account: Safety Should Come First When Logging In and Out (7/28/05)

Frauds and Scams

"Phishing" and Other Online Identity Theft Scams: Don't Take the Bait (1/28/05)

Private Offerings

Brokerage Firm Private Securities Offerings: Buying Your Brokerage (6/14/04)

Margin and Borrowing

100% Mortgages: The Low Down on No Money Down (5/3/04)

Betting the Ranch: Risking Your Home to Buy Securities (3/15/04)

Mutual Funds

Net Asset Value Transfers: Look Before You Leap Into Another Mutual Fund (2/26/04)

Mutual Fund Breakpoints: Are You Owed a Refund? (11/3/03)

Class B Mutual Fund Shares: Do They Make the Grade? (6/25/03)

Annuities and Insurance

Variable Annuities: Beyond the Hard Sell (5/27/03)

Mutual Funds

Principal-Protected Funds—Security Has a Price (3/27/03)

Mutual Fund Breakpoints: A Break Worth Taking (1/14/03)

Understanding Mutual Fund Classes (1/14/03)

Trading Securities

Bearing Up in a Bear Market: You Still Need to Open Your Account Statements (11/5/02)

Annuities and Insurance

Should You Exchange Your Life Insurance Policy? (9/23/02)

Trading Securities

10 Tips to Keep Track of Your Investments (9/23/02)

Mutual Funds

Funds of Hedge Funds—Higher Costs and Risks for Higher Potential Returns (8/23/02)

Margin and Borrowing

Subordination Agreements—Understand the Risks (4/11/02)

Frauds and Scams

Fears of Anthrax and Terrorism Spawning Investment Scams (11/15/01)

Retirement Accounts

"Stretch" IRAs—Too Much of a Stretch for You? (8/10/01)

Promissory Notes

Promissory Notes Can Be Less Than Promised (1/11/01)

Other Investor Alerts

SIPC Warns Investors of New Identity Theft "Phishing" Scheme Involving Phony Request for Confidential Financial Information (Securities Investor Protection Corporation)

Annuities and Senior Citizens: Senior Citizens Should Be Aware Of Deceptive Sales Practices When Purchasing Annuities (National Association of Insurance Commissioners)

Regulators Urge Investors to Carefully Check Credentials of 'Senior Specialists' (North American Securities Administrators Association)

The Cash Sweep Account: What Deal Are You Getting? (New York Stock Exchange)

"Misdialed" Numbers and Stock Tips on Your Answering Machine (Securities and Exchange Commission)

Beware of Oil and Gas Schemes (Washington State Department of Financial Institutions)

SIPC Exposes Phony "Look-Alike" Web Site (Securities and Exchange Commission)

Anti-Terrorist Stop Order Letter Scam (Federal Crimes Enforcement Network)

"Phishing" Scam Uses Anti-Terrorism, FDIC, and Other Government Agencies as Hook: Don't Take the Bait (US Treasury)

"Brokerage Identity Theft" Scams Targeting Investors (Securities Investor Protection Corporation)

Fraud on the Line: Avoiding Do Not Call Scams (Federal Trade Commission)

Foreign Currency (Forex) Trading Scams (Commodity Futures Trading Commission)

Pretexting: Your Personal Information Revealed (Federal Trade Commission)

Electronic Fund Transfers (The Federal Reserve Board)

Viatical and Senior Settlement Warning (North American Securities Administrators Association)

CDs: Tips for Investors (Securities and Exchange Commission)

Affinity Fraud: Beware of Swindlers that Claim Loyalty to Your Group (North American Securities Administrators Association)

The Fleecing of Foreign Investors: Avoid Getting Burned by "Hot" U.S. Stocks (Securities and Exchange Commission)

Prime Bank Fraud (Securities and Exchange Commission)

Broker Cold Calling (Securities and Exchange Commission)

Day Trading: Your Dollars At Risk (Securities and Exchange Commission)