One of FINRA's main goals is to protect the investing public. These alerts provide you with information to help you avoid problems in today’s complex world of investing—and to help protect your and your family from investment scams.

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Five Tips for Financial Security

The economic uncertainty of recent years continues to make this a challenging time for many consumers and investors. Military families are especially vulnerable due to regular PCS moves, interrupted spouse careers, and frequent deployments. The FINRA Investor Education Foundation has put together 5 tips that can help America’s military families successfully navigate turbulent conditions and keep your finances under control.


Alerts From Other Organizations

Check out investor alerts from other regulators, agencies and organizations.

Dormant Shell Companies—How to Protect Your Portfolio from Fraud

Some low-priced "penny" stocks that are aggressively promoted may in fact be stocks of dormant shell companies that are susceptible to pump-and-dump scams.

Frontier Funds—Travel With Care

FINRA is issuing this alert to caution those interested in funds that invest in frontier markets to carefully consider the heightened risks in these markets. Frontier fund investments may provide potential diversification and periods of higher returns than can be obtained through more traditional investments.

Viral Disease Stock Scams: Don’t Let Them Infect Your Portfolio

Be wary of promotions touting stocks that claim to protect against the spread of viruses or other harmful diseases. Aggressive stock promotional tactics may signal a potentially fraudulent scheme.

High-Yield CDs: Red Flags That Signal a

Beware of promotions about certificates of deposit (CDs) promising interest rates that are substantially higher than current averages. FINRA has observed offers for "low-risk" products with outsized returns. Investors should be wary of unsolicited emails and calls that offer outsized interest from financial institutions, including banks and brokerage firms, particularly those with which you have not had a business relationship.

FINRA Investor Alerts

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529 Plans

Annuities and Insurance


Frauds and Scams

Margin and Borrowing

Money Management

Mutual Funds & ETFs

Private Offerings

Promissory Notes

Real Estate Investment Trusts (REITS)

Retirement Accounts

Trading Securities