Category: sept 2014 *UK* FCA warning LIST OF UNAUTHORIZED BROKERS
*UK* 2014 FCA UNAUTHORIZED BROKER AND FIRM LIST
This list was obtained from the official FCA website.
Resource link: http://www.fca.org.uk/news/list?ttypes=warning&yyear=&ssearch=
Considering this:: No of results your search returned: 3063 Total Pages: 613 It will take too long to copy all of them on to here! Please use the link above to access the page on the FSA site I copied them from. On that page you will be able to click on each name to view more information.
Below are the first 8 pages which covers from August 28, 2014- today, September 23 2014
__________________________________________________________
SEPTEMBER 2014
Merrill Lynch, MERRIL EDGE Investing, MarketPro™ = They are counter party on: BATS |BIDS ATS |NYSE Amex, Arca|Chicago, EDGA, EDGX, ISE Stock Exchange|eBX/LeveL ATS|CBOE C21|Nasdaq Options Market |OMX Phlx.
Pertains to ALL accounts up to and including NASDAQ Level II accounts
____________________________________________________________
Please read the statement below. Warn anyone you know who invests thru Merril Lynch in ANY form at all (mutual funds, securities, stock, all forms of investing)
Merrill Edge MarketPro™
SEC Rule 606 Reports – Merrill Lynch, Pierce, Fenner & Smith Incorporated
Disclosure Information:
Disclosure Information: Material Aspects of Relationships with Venues to Which Customer Orders are Routed Merrill Lynch, Pierce, Fenner & Smith Incorporated (“MLPF&S”) is a broker-dealer that executes customer orders as agent and/or principal and receives remuneration for performing these execution services. MLPF&S acts as a registered market maker in numerous Nasdaq securities and may execute customer orders in such securities on a principal basis. MLPF&S also may principally commit capital to facilitate customer transactions or serve as the contra-side to customer orders executed internally through one of the alternative trading systems operated by MLPF&S.
Investors should understand that MLPF&S stands to realize 100% of any profits or losses generated when MLPF&S trades as agent and/or principal in respect of customer orders.
Aside from holdings that MLPF&S may acquire from time-to-time as part of its ordinary market making, block positioning, client facilitation and related hedging activities, MLPF&S (or an affiliate under common control) may acquire equity stakes in market centers as part of a strategic investment. In this regard, MLPF&S or an affiliate owns a minority equity investment stake in the following market centers and therefore stands to participate as a shareholder/investor in the profits that each market center realizes in part from the execution of securities transactions, including transactions that may involve orders for the accounts of MLPF&S customers: (i) BATS Exchange, (ii) BIDS ATS, (iii) NYSE Amex, (iv) Chicago Stock Exchange, (v) Direct Edge Holdings (EDGA Exchange, EDGX Exchange and ISE Stock Exchange), (vi) eBX/LeveL ATS, (vii) NYSE Arca, (viii) NYSE Amex, (ix) CBOE C2, (x) Nasdaq Options Market, (xi) Nasdaq OMX Phlx.
Additionally, MLPF&S is affiliated with Merrill Lynch Professional Clearing Corp. (“ML Pro”), which acts as a market maker on certain options exchanges, including the CBOE, CBOE C2, ISE, BATS Exchange, NYSE Arca, NYSE Amex, Nasdaq Options Market and Nasdaq OMX PHLX. Accordingly, MLPF&S may stand to indirectly share in the profits or losses that ML Pro generates by transacting as options market maker, including transactions that may involve orders for the accounts of MLPF&S customers.
MLPF&S routes customer and proprietary orders to national securities exchanges, alternative trading systems, electronic communications networks, and broker-dealers. Based on their fee schedules, certain market centers offer credits for orders that provide liquidity to their books and assess fees for orders that take liquidity from their books. In some cases, the credits offered by a market center to MLPF&S over a period of time may exceed the charges assessed. MLPF&S participates in the options order flow programs sponsored by the NYSE Amex Options, CBOE, ISE, NYSE Arca and PHLX. These exchange-sponsored programs offer payments for listed option orders that are directed to such options markets.
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I’m now researching the UK business documents and will post that info in a separate post. Link to the UK data on their website is here:
http://www.ml.com/?id=7695_71373_71375_71390
Comment in Global Wealth Management documents :
Where this communication is sent by a branch of Merrill Lynch International Bank Limited, please note that mutual fund materials are only directed at persons to whom, and are distributed only to persons to whom, unregulated collective investment schemes may be promoted in accordance with the rules of the UK Financial Services Authority, including in particular Rule 3.11 of the Conduct of Business sourcebook (“relevant persons”). Such investments are available only to, and any invitation, offer or agreement to subscribe, purchase or otherwise acquire such investments will be engaged in only with, relevant persons. Any person who is not a relevant person should not act or rely on these materials. Merrill Lynch does not operate as a banking entity in all jurisdictions.
while its detailing that only the person whom it was sent to is whom can act on the offer- it reveals that the Financial Services Authority in UK allows Unregulated Collective Investment Schemes!
The Financial Services Authority is in charge of Regulating financial services – so why would it permit unregulated activities to be promoted to anyone?
FOREX WARNING BLOG- do u want me to keep writing it? is it helping anyone?
I feel like no one cares. Like I’m wasting my time.
If you want me to keep going than please say so.
My whole goal is to try protect people from getting scammed by the whole change in the FOREX market from real to simulated. While 9 thousand people have visited my blog- most come to try put advertising in the comment sections.
I’ve had maybe 25 real comments. Is that all the real readers I’ve had?
If this blog has helped you- please let me know, Gathering the information takes a lot of time and is pointless if no one is making use of it.
COMMENT IF YOU WANT THIS BLOG TO BE CONTINUED….
2,2014 FOREX.COM/GAIN CAPITAL risk statement CRITICAL FACTS -why they are NO GOOD!!
It drives me crazy that people sign these agreements without understanding what they are agreeing to! If you did understand- there’s no way you would sign!
BY SIGNING – YOU HAVE AGREED TO ALLOW THEM TO RIP YOU OFF USING MULTIPLE METHODS TO DO IT AND HAVE ALSO AGREED THAT YOU WONT TAKE ACTION AGAINST THEM FOR DOING IT.
FOREX.COM is GAIN CAPITAL
The following are just some of what you are agreeing to-First- they make sure you know they are working against you and that you cannot trust them. They detail how they will move the market against you and then have you agree with them doing this to you.
copied from the secondary risk statementon feb 20,2014 http://www.forex.com/pdf/secondary.pdf
*****************************************************************
I have read, and understand the Risk Disclosure
INTERPRETATION:
- You are ONLY trading against your broker.
- Your broker can choose to not cover their own exposure- causing the market to swing against you because they will profit more that way.
- They control the prices you see+ they are the only other person trading with you therefore- they create the appearance of a market swing- to take your money away from you.
- They are allowed to manipulate you by providing bad reccommendations.
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Customer Agreement
http://www.forex.com/forex-account-forms.html
INTERPRETATION:
They are not obligated to use prices that match what you might find on another site -keeping in mind- everyone makes there own prices and there is no actual market- your still just trading against your broker. Not other customers- meaning “high volume” and “volatility” don’t exist. They create the appearance of that environment at will.
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5.MARGIN REQUIREMENTS
Customer’s Account will be under the control of FOREX.com FOREX.com may change Margin requirements at any time, without prior notice to Customer, and may call for additional Margin (“Margin Call”) at (x) any time Customer’s Margin Balance falls below FOREX.com ’s Minimum Margin Requirement as applied to that Account;and (y) any timeFOREX.com, in its sole discretion, believes that it is prudent to do so.FOREX.com may at any time liquidate Customer’s Account in accordance with Paragraph 9.FOREX.com may withdraw funds from the Customer’s account without notice: (x) to ensure that Posted Margin equals or exceeds Required Margin; and (y) to satisfy any payment obligation to FOREX.com, including commissions,fees and charges in respect of Customer’s Account.
INTERPRETATION:
- They control your account
- They can change your margin requirement for no reason at all and
- They don’t have to tell you before they change it. Furthermore
- They can liquidate your account if it doesnt meet the new limit
- and do it without prior notice
You want to know how these companies take peoples money? You sign an agreement that says they can! Who in there right mind would agree to have them get to move your margin limit without warning or notification? Then get to liquidate your account based on the new requirement- without ever notifying you! And they get to do this at their sole discretion- that means they are not required to have any form of valid reason. They can do it just because they feel like it. They have the freedom to decide what the margin will be at their sole discretion as well- there are no standards they have to follow. They can double your margin requirement, or triple it- well… they will move it exactly enough to make sure you dont have enough in your account to cover it- at the same time swinging the market against your outstanding orders- thereby not only taking all your money- but making it so you then owe them money for the losses that happened when they liquidated.
I dont have time to keep writing this all out- just read each paragraph carefully-The words that alert you to foul play are as follows
“at it’s sole discretion” = “just cuz they feel like it” no reason required!
“without prior notice” = They can do it without warning you
“without notice”= they don’t have to tell you they did something- like change the agreement- and continuing to trade = agreeing to the changes they made- but how are you supposed to know changes were made? exactly!
FCA UNAUTHORIZED brokers added to list Aug 2013-Jan 2014
10/1/2013 UK FCA WARNING LIST of UNAUTHORIZED BROKERS 26 new names
FCA (UK) DISCIPLINARY ORDERS AND REGULATORY DECISIONS Date published: 4 September 2013 (23 names)
FCA WARNING LIST: 10 new names added from Aug 19- Aug 30 2013
Public Alert: List of Fictitious Governmental Agencies and International Organizations associated with Soliciting Entities
copied from the SEC website
resource link:http://www.sec.gov/investor/oiepauselistfake.htm
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Public Alert: Unregistered Soliciting Entities (PAUSE)
List of Fictitious Governmental Agencies and International Organizations Associated with Soliciting Entities
The SEC receives complaints from investors and others, including foreign securities regulators, about securities solicitations made by entities claiming to offer investments endorsed, approved, or otherwise supported by governmental agencies, including the SEC, or international organizations. The SEC does not “approve” or “endorse” any particular securities, issuers, products, services, professional credentials, firms, or individuals, and does not allow private entities to use its government seal. The SEC’s Office of Investor Education and Advocacy has issued a number of Investor Alerts, available here, on the topic of bogus regulators and SEC impersonators. In many cases, SEC investigation reveals that the so-called governmental agencies or international organizations claimed to have lent support to these solicitations do not exist. In an effort to warn the public about these entities, the SEC is posting the list below. The SEC will regularly update this list.
Additional PAUSE Lists
In addition to the fictitious regulators listed below, the SEC also receives complaints about unregistered soliciting entities and entities impersonating genuine US registered securities firms. You can view a list of these entities by following the separate links listed below.
- Unregistered Soliciting Entities
- .
- Impersonators of Genuine Firms
You should be aware that these lists do not include all unregistered entities, impersonators of genuine firms, fake regulators, or entities that have been the subject of complaints received by the SEC. Also, you should understand that the inclusion of a name on these lists does not mean that the SEC has concluded that a violation of the US securities laws has occurred or that the SEC has made any judgment about the merits of the securities being offered by these entities. You can view the official SEC release describing and providing more details about this list. If you have information, questions or comments about the entities on this list, please contact oiea@sec.gov or call 202-551-6551.
| Name | Comment |
|---|
A |
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| American Financial Group Ten G Street NE, 6th Floor Washington, DC 20002 Website: http://amfigroup.com/ |
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C |
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| Chicago Trading Regulatory Board 901-905 North Michigan, Suite 565 Chicago, IL 60611 Website: http://ctrb.us/ |
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| Center for Securities Investigation Department 324 W. Main St. Brighton, MI 48116 Phone: 810-852-1701 Fax: 810-852-1702 |
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| Central Stock Regulators 3200 West End Avenue Nashville, TN 37203 Phone: 615-349-9977 Fax: 615-250-4897 |
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| Commission on International Trade and Economics (COITE) Phone: 205-258-3060 Fax: 888-846-8271 E-mail: coite@revenue.com |
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D |
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| Department of Law and Public Safety Office of the Public Defenders Hughes Justice Complex, 1st Floor, N-Wing 25 Market Street, P.O. Box 850 Trenton, NJ 08625 Phone: 609–284–9603 Fax: 609–228–5356 |
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| Department of Securities Trading 745 19th Street Northwest Washington, DC 20431 Website: http://gov.depst.org/, http://depst.us |
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| Division of Securities for the District of Columbia (DOSDC) Phone: 202-596-3591 Fax: 202-330-5156 E-mail: hotline@dosdc.org No website or address provided in documents. |
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E |
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| Equities Trading Commission 1800 K Street Northwest, #530 Washington, DC 20006 Phone: 202-249-7490 Fax: 202-318-8716 Website: http://gov.eqtc.us/ and 842 Vermont Avenue |
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F |
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| Federal Division Of Securities, NY 176 Pearl Street New York, NY 10005 Phone: 212-542-8755 Fax: 212-409-8391 Website: http://fdsus.org/ |
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| Federal Recapitalization Fund 77 Water Street New York, NY 10005 Phone: 212-381-1810 Website: http://www.fedrecap-gov.us/ |
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| Federal Securities and Investments Regulatory Commission (FSIRC) 915 Second Avenue, Suite 2110 Seattle, WA Website: http://www.fsirc.org/ (The website is no longer accessible.) |
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| Federal Securities Commission 78 State Street Albany, NY 12207-2002 Phone: 518-618-1020 Fax: 518-677-1836 Website: http://us-fsc.org/ |
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| Federal Securities Regulatory Agency Henry M. Jackson Federal Building, 27th Floor 915 2nd Avenue Seattle, WA 98104 Phone: 202-747-7823 Fax: 202-478-1738 Website: http://fsraonline.org/ and http://fsra-protect.org/ (The websites are no longer accessible.) |
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| Financial Securities and Equities Bureau (FSEB) 2nd Street, SW and D Street, SW Washington, DC 20024 Phone: 202-461-3251 Website: http://www.fsaeb.us/ |
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G |
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| Global Compliance Agency 201 S. College St. Charlotte, NC 28244 Phone: 704-817-0614 Fax: 704-817-0615 |
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| Global Investments Compliance Center 5005 Rockside Road Independence, OH 44131 Phone: 216-220-1600 Fax: 216-220-1601 |
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| Global Securities Protection Agency 41 Marietta Street Atlanta, GA 30303 Phone: 678-954-0522 Fax: 678-954-0523 |
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I |
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| International Association of Transfer Agents 30 Wall Street New York, NY 10005 |
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| International Board of Mergers & Acquisitions 433 North 6th Street Philadelphia, PA 19123 Phone: 215-475-5894 Fax: 215-701-2491 Website: http://gov.ibma.us/ |
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| International Commission of Securities 600 Superior Avenue East Fifth Third Building Suite 1300 Cleveland, OH 44114 Phone: 440-869-9952 Fax: 440-848-2305 |
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| International Equities Administrators 5865 Ridgeway Center Parkway, Suite 350 Memphis, TN 38120 Phone: 901-896-0327 Fax: 901-339-0522 |
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| International Exchange Commission 190 High Street Boston, MA 02110 Phone: 617-861-4470 Fax: 617-861-4458 Website: http://iecnet.org/ |
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| International Exchange Commission 545 8th Avenue, Suite 501 New York, NY 10018 Phone: 212-330-0995 Fax: 212-465-3392 Website: http://www.iecommission.org/ |
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| International Financial Trading Commission 1091 Vermont Avenue, NW Washington, DC 20005 Phone: 202-595-2867, 202-534-3926 Fax: 202-403-3289 Website: http://gov.intftc.org/ |
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| International Fraud Alert Phone: 202-455-0973 Washington D.C. Website: http://www.internationalfraudalert.org |
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| International Information Exchange 775 15th St. NW, Suite 500 Washington, DC 20005 Phone: 202-263-1950 Fax: 202-263-1951 Website: http://theiie.net/ |
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| International Investor Protection Coalition, a.k.a. IIP Coalition Lexington Avenue and E. 54th Street New York, NY 10010 Phone: 212-542-9171 Website: http://iipcoalition.org |
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| International Organization of Registrar and Clearing Agents (IORACA) One Post Street, Suite 1830 San Francisco, CA 94104 Website: http://www.ioraca-gov.org/ |
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| International Securities Accreditation Authority 30 E. Broadway Salt Lake City, UT 84111 Phone: 801-618-2100 Fax: 801-618-2119 |
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| International Securities Administrators 312 Walnut Street, Suite 1500 Cincinnati, OH 45202 Phone: 513-297-1593 Fax: 513-672-2308 |
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| International Securities Authority 622 Pennsylvania Avenue Northwest Washington, DC Phone: 202-360-4613 Fax: 202-403-3289 Website: http://gov.intseca.org/ |
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| International Securities and Equities Board 1441 L Street N.W Washington, D.C. 20005 Phone: 202-552-1506 Fax: 202-315-3628 Website: http://gov.iseb.us/ |
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| International Shareholders Compliance Department 500 N. Michigan Ave., Suite 320 Chicago, Il 60611 Phone: 312-281-0329 Fax: 312-276-4752 |
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| International Stock Transfer Administration (ISTA) 8025 Corporate Drive Nottingham, MD 21236 Phone: 443-320-1009 Fax: 410-630-3545 Website: http://gov.stocktransfer.org/ |
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N |
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| New York Securities Division Federal Office Building 205 Varick Street New York, NY 10014 Website: http://us-nysd.org/ |
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O |
|
| Offshore Securities Commission 295 Greenwich Street (Wall Street) New York, NY 10007 Phone: 212-918-8572 Website: http://www.offshoresecuritiescommission-gov.us |
|
P |
|
| Pennsylvania Division of Securities 1 South Broad Street, #552-A Philadelphia, PA 19107 Phone: 484-748-0028 Fax: 484-223-3044 Website: http://dospa.org/ |
|
S |
|
| Securities Administration 605 University Street Seattle, WA 98101-4112 Phone: 206-395-2023 Fax: 206-299-9916 Website: http://www.stocktransfers.us (The website is no longer accessible.) |
|
| Securities and Financial Commission (SFC) 735 3rd Avenue Seattle, WA 98104-1802 Phone: 206-801-3381 Fax: 206-299-9494 Website: http://gov.secfc.com |
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| Securities and Investments Disputes Agency 2 Prudential Plaza 180 Stetson Avenue Chicago, Illinois Phone: 312-465-1131 Website: http://www.SIDAinternational.org |
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| Securities Regulation, Protection and Litigation Agency 101 Madison Avenue New York, NY 10016 Phone: 646-918-5136 Fax: 206-299-3723 Website: http://srpla.org/ |
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| Securities Trading Board 842 Vermont Avenue NW Washington, DC 20005 Phone: 202-688-5985 Fax: 202-403-3289 Website: http://gov.sectb.org/ |
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| Securities Trading Commission 1110 Connecticut Avenue NW Washington, DC 20036 Phone: 202-204-2310 Fax: 202-330-5349 Website: http://gov.sectco.us/ |
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| State Securities Commission 1300 Connecticut Avenue, NW, #520 Washington, DC 20036-1709 Phone: 202-600-2944 Fax: 202-315-3692, 206-238-6266 Website: http://statesec.org/ |
|
U |
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| U.S. District Court of Arbitration Federal Office Building 90 Church Street New York, NY 10007 Phone: 917-546-7307 Fax: 917-591-8309 E-mail: helpdesk@dcoany.us |
|
| U.S. International Bureau for Trading 1101 30th Street, NW, Suite 500 Washington, DC 20007 Phone: 202-470-4047 Website: http://www.usibtrading.org/ |
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| U.S. Regulatory Securities Agency 1025 Connecticut Avenue, NW, Suite 1000 Washington, DC 20036 Phone: 202-470-5470 Website: http://www.usregsec.org |
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| US Shareholders Registry Department 240 Woodrow Street Chester, PA 19013 Phone: 484-694-9433 Fax: 484-694-9433 Website: http://www.us-srd.us/ |
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| United States Federal Court of Arbitration Federal Office Building 201 Varick Street New York, NY 10014 Phone: 646-616-7551 Fax: 646-514-0670 Website: http://fcoaus.org/ |
|
| United States Investment Dealers Organization (USIDO) 1644 Murfreesboro Nashville, TN 37217 Phone/Fax: 615-528-7875 Email: info@usidealers.org and United States Investment Dealers |
|
| United States Regulators and Administration Commission 72 Mt. Vernon Street Boston, MA and 160 Cambridge Street |
|
| United States Securities and Acquisitions Administration 1120-1152 20th Street, NW, 38B, 3rd Floor Washington, DC 20036 Phone: 202-618-9054 Fax: 202-318-8613 Website: http://www.gov.ussaa.us |
|
| United States Securities and Investments Commission Website: http://www.ussicommission.org |
|
| United States Securities Regulatory Commision (sic) 2001 L Street NW Washington, DC 20036 Website: http://gov.ussrc.us/ |
|
| United States Settlement and Claims Commission a.k.a. Settlement Claims Commission (SCC) 125 North Madison Street Stockton, CA 95201-9005 Phone: 209-751-4458 Fax: 209-751-4501 Website: http://www.scc-us.org/ (The former website http://scc-gov.org/ is no longer accessible. However, the current website is accessible.) |
|
To view the SEC’s Data Quality Guidelines, click [http://www.sec.gov/about/dataqualityguide.htm].
http://www.sec.gov/investor/oiepauselistfake.htm
Investor Alerts and Bulletins by Date (Main Page)/(Topical)
Understanding Margin Accounts (August 2013)
Ponzi Schemes Using Virtual Currencies (July 2013)
Interest Rate Risk — When Interest Rates Go Up, Prices of Fixed-Rate Bonds Fall (June 2013)
Beware Investment Offers Implying SEC Endorsement (June 2013)
Don’t Trade on Pump-And-Dump Stock Emails (June 2013)
Binary Options and Fraud (June 2013)
What Are High-yield Corporate Bonds? (June 2013)
What Are Corporate Bonds? (June 2013)
SEC Warns of Bogus Securities Regulators Soliciting Investors (May 2013)
Pension or Settlement Income Streams (May 2013)
Private Oil and Gas Offerings (May 2013)
SEC Warns of Government Impersonators (Updated) (April 2013)
How to Read a Mutual Fund Shareholder Report (April 2013)
Custody of Your Investment Assets (March 2013)
Insider Transactions and Forms 3, 4, and 5 (February 2013)
Investing in an IPO (February 2013)
Municipal Bonds – Understanding Credit Risk (December 2012)
13 Things Everyone Should Know About Investing (December 2012)
Year-End Investment Considerations for Individual Investors (December 2012)
Be on the Lookout for Investment Scams Related to Hurricane Sandy (November 2012)
Hedge Funds (October 2012)
How to Read Confirmation Statements (September 2012)
Lost and Stolen Securities (September 2012)
Affinity Fraud (September 2012)
Top Tips for Selecting a Financial Professional (September 2012)
American Depositary Receipts (August 2012)
ETFs (August 2012)
International Investing (July 2012)
New Measures to Address Market Volatility (July 2012)
Municipal Bonds (June 2012)
DTC Chills and Freezes (May 2012)
How to Read an 8-K (May 2012)
Trading Suspensions (Updated) (May 2012)
Social Media and Investing-Tips for Seniors (May 2012)
CMKM Diamonds Investors (April 2012 – Updated)
Pre-IPO Investment Scams (April 2012)
Voting in Annual Shareholder Meetings – What’s New in 2012 (March 2012)
SEC Warns of Government Impersonators (February 2012)
Social Media and Investing – Avoiding Fraud (January 2012)
Social Media and Investing – Understanding Your Accounts (January 2012)
12 Saving and Investing Tips for 2012 (December 2011)
Transition of Mid-Sized Investment Advisers from Federal to State Registration (December 2011)
Real Estate Investment Trusts (REITs) (December 2011)
Investment Seminars – Trading Seminar Fraud (October 2011)
The Foreign Corrupt Practices Act – Prohibition of the Payment of Bribes to Foreign Officials (October 2011)
How to Read a 10-K (September 2011)
Self-Directed IRAs and the Risk of Fraud (September 2011)
Investor Warning Regarding Possible Advance Fee Fraud Targeting Deaf Investors (August 2011 – Updated)
New Stock-by-Stock Circuit Breakers (August 2011 – Updated)
Foreign Currency Exchange (Forex) Trading for Individual Investors (July 2011)
Auction Rate Securities (July 2011 – Updated)
Cobell Indian Trust Settlement Payout Recipients – Be on the Lookout for Investment Scams (July 2011)
Early Retirement Seminars: Smart Tips for Spotting Retirement Scams (June 2011)
Structured Notes with Principal Protection: Note the Terms of Your Investment (June 2011)
Reverse Mergers (June 2011)
Indexed Annuities (April 2011)
Information for Stanford Investors (June 2011 – Updated)
Spotlight on Proxy Matters (June 2011 – Updated)
Trading Suspensions (June 2011)
After-Hours Trading (May 2011)
Say on Pay and Golden Parachute Votes (March 2011)
Trading Basics (March 2011)
Pre-IPO Investment Scams (March 2011)
Margin Rules for Day Trading (February 2011)
New Rules Give Customers Option of All Public Arbitration Panels (February 2011)
Money Market Funds: Staff Responses to Questions about Information Filed on Form N-MFP (January 2011)
Trading in Cash Accounts (January 2011)
Life Settlements (January 2011)
Top 11 Tips for 2011 (January 2011)
Investor Warning Regarding Web-Based Scheme Defrauding Deaf Investors (October 2010)
BP Payout Recipients: Be on the Lookout for Investment Scams (October 2010)
Investors Beware of Government Impersonators (October 2010)
Focus on Municipal Bonds (September 2010)
Trading in Stock After an SEC Trading Suspension — Be Aware of the Risks (August 2010)
Analyzing Analyst Recommendations (August 2010)
Amendments to Form ADV – New Disclosure Requirements for Investment Advisers (July 2010)
New Rule to Curb “Pay to Play” Practices (July 2010)
New Rules Improving Municipal Disclosure (June 2010)
Oil Spill Stock Scams—Don’t Get Cleaned Out by False Cleanup Claims (May 2010)
Investors Beware of Entity Calling Itself “U.S. Securities and Equities Administration” (May 2010)
Target Date Retirement Funds (May 2010)
Investor Warning Relating to Eric V. Bartoli, Enrico Orlandini, and DT Analysis a/k/a and Dow Theory Analysis SAC (April 2010)
Focus on Money Market Funds (April 2010)
Keeping Track of Your Investments – New Rules on Custody (April 2010)
SEC Investor Alert on Phony SIPC “Look-Alike” Website Targeting Madoff Victims (March 2010)
Information for Reserve Primary Fund Investors (January 2010 – Updated)
Information Concerning Malaysian Restitution Fund for SwissCash Investors (December 2009)
SIPC Exposes Phony “Look-Alike” Web Site (December 2009)
SEC-FINRA Investor Alert on Leveraged and Inverse ETFs (August 2009)
Prime Bank Fraud Information Center (June 2009)
Investor Alert for Stanford Investors (April 2009)
Financial Navigating in the Current Economy (December 2008)
Hedge Funds: Investor Alert from FINRA (October 2008)
Subordination Agreements — Understand the Risks (FINRA Alert) (October 2008)
Affinity Fraud: How To Avoid Investment Scams That Target Groups (September 2006)
The Forex Trading Scam Exposed:Facts, Proof, Names, legal actions: NFA created it. 