Personal Finance

By Anonymous (not verified), 6 June, 2019
Short Title
Disaster-Related Financial Fraud

Last year's Atlantic hurricane season saw 15 named storms slam the East Coast and Gulf states—including mammoth Florence and Michael. It may not be possible to predict when or where the storms of 2019 will take place, but one thing you can count on is that when they hit happens, scammers will try to take advantage of the situation.

Core Official Date
Author (External)
FINRA Staff ([email protected])
By Anonymous (not verified), 24 May, 2019
Short Title
Reverse Stock Splits

A reverse stock split tends to occur with small companies who believe their stock price is too low to attract investors.

Core Official Date
Author (External)
FINRA Staff ([email protected])
By Anonymous (not verified), 8 May, 2019
Short Title
Departing Brokers

If the broker you are working with leaves your brokerage firm, it may prompt questions about the departing broker and the status of your accounts following the departure. For this reason, FINRA has consistently sought to ensure that customers can make a timely and informed choice about where to maintain their assets when their broker moves on to a new firm.

Core Official Date
Author (External)
FINRA Staff ([email protected])
By Anonymous (not verified), 18 April, 2019
Short Title
Cryptocurrency Trading Platforms

In the new world of cryptocurrencies and blockchain technology, a number of service providers have emerged to assist users in managing their cryptocurrencies. An important development is the emergence of cryptocurrency online platforms that let users buy, sell, exchange, and in some cases, store cryptocurrencies.

Core Official Date
Author (External)
FINRA STAFF AND THE BBB INSTITUTE ([email protected])
By Anonymous (not verified), 1 April, 2019
Short Title
Social Sentiment Investing Tools

This Alert provides tips to consider before using tools that analyze or aggregate information from social media sources to make investment decisions or attempt to predict changes in the stock market’s direction or in the price of a security.

Core Official Date
Author (External)
FINRA and SEC Staff ([email protected])
By Anonymous (not verified), 26 March, 2019
Short Title
Earned Income Tax Credit

With the Earned Income Tax Credit (EITC), eligible workers can receive a refundable tax credit that could exceed $6,500. Learn more.

Core Official Date
Author (External)
FINRA Staff ([email protected])
By Anonymous (not verified), 19 March, 2019
Short Title
Broker Imposter Scams

FINRA is aware of a recent scheme that involved an unregistered individual impersonating a registered investment professional to lure in potential investors. This scammer created a fake version of a public FINRA BrokerCheck® report of a legitimate broker—picking an experienced broker with a spotless regulatory record.

Core Official Date
Author (External)
FINRA Staff ([email protected])
By Anonymous (not verified), 7 March, 2019
Short Title
Deciding Whether to Rent or Buy

Since a home purchase is often the single biggest investment many people will ever make, it's important to give the question—buy or rent—serious consideration. If you are wondering what is right for you, here are four questions to ask yourself.

Core Official Date
Author (External)
FINRA Staff ([email protected])
By Anonymous (not verified), 6 March, 2019
Short Title
Investor Alert: Fake Check Scams

Fake checks purported to be issued by FINRA appear to be back in circulation in 2019. The checks are counterfeit, and may arrive by special delivery and require a recipient's signature. Learn about the risks of cashing unexpected checks and our tips to avoid being a check scam victim.

Core Official Date
Author (External)
FINRA Staff ([email protected])
By Anonymous (not verified), 21 February, 2019
Short Title
Save to Retire

Time for a Military Saves Week pep talk. YOU CAN DO IT! We're talking about saving meaningful money toward your retirement. Below are four ways to help achieve a secure retirement.

Core Official Date
Author (External)
FINRA Foundation ([email protected])