Investor Alerts
Investor Warning Relating to Eric V. Bartoli, Enrico Orlandini, and DT Analysis a/k/a and Dow Theory Analysis SAC
04/14/2010
The staff of the Securities and Exchange Commission (SEC) has received credible information suggesting that an individual named Eric Bartoli, who was previously sued by the SEC for securities fraud, may currently be located in Peru and engaged in securities solicitations of investors, using the alias Enrico Orlandini. Read moreInvestors Beware of Phony SIPC “Look-Alike” Website Targeting Madoff Victims
03/09/2010
The SEC is warning investors about a website that falsely claims that $1.3 billion in Madoff money has been found in Malaysia and encourages individuals to submit information to verify that they are on a refund list. The website was created as a fake mirror image of the Securities Investor Protection Corporation’s (SIPC) website.Read moreInformation Concerning Malaysian Restitution Fund for SwissCash Investors
12/22/2009
This Alert concerns a restitution fund established by the Securities Commission Malaysian (“Malaysian SC”) in a settlement involving various entities operating under the name “Swisscash”, including “Swiss Mutual Fund (1948),” and through websites encompassing variations on the names “Swisscash” and “SwissMutualFund.”Read moreSEC-FINRA Investor Alert on Leveraged and Inverse ETFs
08/18/2009
The SEC staff and FINRA are issuing this Alert because we believe individual investors may be confused about the performance objectives of leveraged and inverse exchange-traded funds (ETFs). Read moreView Document: English
Information for Stanford Investors
03/12/2009
On March 12, 2009, U.S. District Court Judge David C. Godbey issued an order at the request of Stanford court-appointed receiver Ralph S. Janvey unfreezing approximately 16,000 Stanford investor accounts at Pershing LLC and J.P. Morgan Clearing Corp., unless an exception described in the order applies.Read more- « first
- ‹ previous
- 1
- 2
- 3
- 4