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.
A range of programs and lawsuit settlements have resulted in new money coming into Indian Country. If you are a recipient or potential recipient of this new money, read the following tips to help you confidently manage this new money, as well as avoid financial fraud.
FINRA is issuing this alert to inform brokerage account holders, family members and other beneficiaries about the value of preparing for the inevitable, and the general process firms follow when an account holder passes away. We also provide tips for making the transfer process as efficient and trouble-free as possible for account holders and also for heirs and beneficiaries.
Automated investment tools may offer clear benefits—including low cost, ease of use, and broad access. But it is important to understand their risks and limitations before using them.
Check out investor alerts from other regulators, agencies and organizations.