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Financial News from Financial Industry Regulatory Authority (FINRA)

  • 7 Ways to Spot Potential Marijuana Stock Scams Financial Industry Regulatory Authority (FINRA) - Tue, Aug 19, 2014 10:20 AM EDT
    7 Ways to Spot Potential Marijuana Stock Scams

    The Securities and Exchange Commission (SEC) recently uncovered a den of stock promoters "pumping and dumping" small company stocks, including some that claimed to be in the medical marijuana business. The SEC charged four promoters with manipulating marijuana-related stocks and the stocks of other tiny companies through …

  • Viral Disease Stock Scams: Don’t Let Them Infect Your Portfolio Financial Industry Regulatory Authority (FINRA) - Thu, Aug 14, 2014 3:00 PM EDT
    Viral Disease Stock Scams: Don’t Let Them Infect Your Portfolio

    FINRA is issuing this Alert to warn investors to be wary of promotions touting stocks that claim to protect against the spread of viruses or other harmful diseases. FINRA is aware of several potential investment scams involving companies that claim to be involved in the development of products that will prevent the spread …

  • "Phishing" and Other Online Identity Theft Scams: Don't Take the Bait Financial Industry Regulatory Authority (FINRA) - Tue, Jul 29, 2014 11:45 AM EDT
    "Phishing" and Other Online Identity Theft Scams: Don't Take the Bait

    According to computer security experts, economic cyber-crime continues to surge. "Phishing" attacks—scams that use spam email or a fake website to lure you into revealing your bank or brokerage account information, passwords or PINs, Social Security number or other types of confidential information—have increased significantly …

  • Promissory Notes Can Be Less Than Promised Financial Industry Regulatory Authority (FINRA) - Tue, Jul 22, 2014 2:35 PM EDT
    Promissory Notes Can Be Less Than Promised

    In June 2014, a FINRA hearing panel expelled Washington, D.C.-based Success Trade Securities, Inc. and barred its CEO and President for the fraudulent sale of more than $19 million in promissory notes to NFL and NBA players. This investor alert details the risks associated with promissory notes and the continued threat …

  • 5 Things You Should Know about TIPS Financial Industry Regulatory Authority (FINRA) - Tue, Jul 15, 2014 10:30 AM EDT
    5 Things You Should Know about TIPS

    For several years now, the U.S. Department of the Treasury has offered bonds that can help protect against inflation. They're called Treasury Inflation Protected Securities, or TIPS.

  • Carefully Review Your Trade Confirmations Financial Industry Regulatory Authority (FINRA) - Tue, Jul 8, 2014 10:30 AM EDT
    Carefully Review Your Trade Confirmations

    When you buy and sell securities like stocks and bonds, it's important to review your trade confirmations, which you receive with every transaction. They contain key details about your trades. These include, ...

  • An American Tradition—U.S. Savings Bonds Financial Industry Regulatory Authority (FINRA) - Tue, Jul 1, 2014 12:40 PM EDT
    An American Tradition—U.S. Savings Bonds

    July 4 th is the day we celebrate America's independence. It's also a great time to pay tribute to U.S. savings bonds, which have helped Americans lay the groundwork for financial independence since 1935. ...

  • 8 Tips to Keep Track of Your Investments Financial Industry Regulatory Authority (FINRA) - Tue, Jun 24, 2014 11:00 AM EDT
    8 Tips to Keep Track of Your Investments

    Markets move every day and your investment priorities can change over time, so it's important to stay on top of your investment portfolio. It's essential to keep track of your investments to prevent minor ...

  • Signs an Investment Opportunity May Be a Scam Financial Industry Regulatory Authority (FINRA) - Tue, Jun 17, 2014 10:15 AM EDT
    Signs an Investment Opportunity May Be a Scam

    You've likely heard the timeless warning, "If it sounds too good to be true, it probably is." It's great advice, but the trick is figuring out when a good investment offer becomes too good. It ...

  • At Risk of Investment Fraud? Find Out Fast Financial Industry Regulatory Authority (FINRA) - Tue, Jun 10, 2014 12:15 PM EDT
    At Risk of Investment Fraud? Find Out Fast

    Ever wonder if you're at a high risk for investment fraud? You can find out using this unique—and free—tool. It's the fraud Risk Meter . Created by the FINRA Investor Education Foundation, it's based on ...

  • High-Yield CDs: Red Flags That Signal a Scam Financial Industry Regulatory Authority (FINRA) - Tue, Jun 3, 2014 10:45 AM EDT
    High-Yield CDs: Red Flags That Signal a Scam

    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 ...

  • A Perfect Time to Save for College Financial Industry Regulatory Authority (FINRA) - Tue, May 27, 2014 12:30 PM EDT
    A Perfect Time to Save for College

    May 29 is an important day for anyone thinking about paying for college. It's National College Savings Day, named for 529 plans—plans designed to help you save for college (5/29, get it?). It's a perfect ...

  • Compare When Shopping for Financial Products Financial Industry Regulatory Authority (FINRA) - Thu, May 22, 2014 11:00 AM EDT
    Compare When Shopping for Financial Products

    You wouldn't buy laundry detergent without comparing features and prices among brands. Or a smart phone. Or a car. But most Americans either don't comparison shop for financial products—such as credit ...

  • Reverse Mortgages—Avoid a Reversal of Fortune Financial Industry Regulatory Authority (FINRA) - Tue, May 6, 2014 12:00 PM EDT
    Reverse Mortgages—Avoid a Reversal of Fortune

    If you are in your sixties, and own your home, you have likely heard about reverse mortgages—or will soon. As more Americans near retirement age, some financial institutions are aggressively marketing reverse mortgages as an easy, cost-free way for retirees to finance lifestyles—or to pay for risky investments—that can …

  • What SIPC Does—and Does Not—Cover Financial Industry Regulatory Authority (FINRA) - Tue, Apr 29, 2014 3:30 PM EDT
    What SIPC Does—and Does Not—Cover

    You may have seen the phrase "SIPC member" in information from your brokerage firm. What is SIPC, and more importantly, what does SIPC membership mean to investors? SIPC provides limited coverage to investors on their brokerage accounts if their brokerage firm becomes insolvent. SIPC also, in many cases, protects customers …

  • Make Asset Allocation Work for You Financial Industry Regulatory Authority (FINRA) - Tue, Apr 22, 2014 11:30 AM EDT
    Make Asset Allocation Work for You

    Turn on any financial news channel and you'll likely see money managers discussing their investment strategies and recommendations for asset allocation. These broad categories are called asset classes, and the process of structuring a portfolio that invests different amounts of money in different asset classes is known …

  • 5 Things to Expect When You Open a Brokerage Account Financial Industry Regulatory Authority (FINRA) - Tue, Apr 8, 2014 4:41 PM EDT
    5 Things to Expect When You Open a Brokerage Account

    If you're reading this, you may be planning to open a brokerage account to start investing. The Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) require brokerage firms to ask for this information. If your broker is recommending investments to you, SEC and FINRA rules require …

  • Financial Literacy Month: Millennials, Now is the Time Financial Industry Regulatory Authority (FINRA) - Tue, Apr 1, 2014 10:45 AM EDT
    Financial Literacy Month: Millennials, Now is the Time

    April is Financial Literacy Month. More than anything else, it's a time to hone healthy financial habits. And no generation needs to do this more than millennials (those age 18 to 34). According to results from the FINRA Investor Education Foundation's national Financial Capability Survey, only 24 percent of millennials …

  • What You Need to Know About Brokerage Account Transfers Financial Industry Regulatory Authority (FINRA) - Tue, Mar 25, 2014 1:00 PM EDT
    What You Need to Know About Brokerage Account Transfers

    Here are answers to five questions that will help you better understand brokerage account transfers. Broker-dealers transfer customer accounts through the Automated Customer Account Transfer Service (ACATS), operated by the National Securities Clearing Corporation. Securities accounts that hold the most common assets, …

  • Millennials Face Financial Struggle Financial Industry Regulatory Authority (FINRA) - Tue, Mar 18, 2014 3:00 PM EDT
    Millennials Face Financial Struggle

    If you're part of the millennial generation, your financial life is probably no walk down easy street. A new study by the FINRA Investor Education Foundation, The Financial Capability of Young Adults—A Generational View, reveals that millennials—those 18 to 34—show concern about their debt, engage in problematic financial …

  • Bitcoin: More than a Bit Risky Financial Industry Regulatory Authority (FINRA) - Wed, Mar 12, 2014 9:30 AM EDT
    Bitcoin: More than a Bit Risky

    Bitcoin and other digital currencies have garnered considerable attention. In 2013 the US Securities and Exchange Commission (SEC) charged a Texas man and his company with fraud involving an alleged Bitcoin Ponzi scheme. More recently, on February 19, 2014, the SEC suspended trading in the securities of Imogo Mobile Technologies …

  • Your Taxes—Cost-Basis Basics Financial Industry Regulatory Authority (FINRA) - Tue, Mar 4, 2014 10:45 AM EST
    Your Taxes—Cost-Basis Basics

    To figure out whether you need to report a gain—or can claim a loss—after you sell, you must start with the cost basis for that investment. For stocks or bonds, the cost basis is generally the price you paid to purchase the securities plus any other costs such as the commission or other fees you may have paid to complete …

  • Make 2014 Your Year to Save Financial Industry Regulatory Authority (FINRA) - Tue, Feb 25, 2014 10:45 AM EST
    Make 2014 Your Year to Save

    And it's the first crucial step toward achieving financial independence. America Saves Week, and its counterpart Military Saves Week for service members, are annual opportunities to take the Saver's Pledge, a personal commitment to save.

  • 5 tips for smart automatic 401(k) investing Financial Industry Regulatory Authority (FINRA) - Tue, Feb 18, 2014 12:00 PM EST
    Retirement

    A tax-advantaged retirement savings account, like a 401(k), is a great way to boost savings and lower your tax bill. A growing number of companies automatically enroll employees in their 401(k) or similar retirement savings plan. But some do more than just enroll and get you started down a retirement savings path. The …

  • Common and Preferred Stocks: What’s the Difference? Financial Industry Regulatory Authority (FINRA) - Tue, Feb 11, 2014 11:10 AM EST
    Common and Preferred Stocks: What’s the Difference?

    All publicly traded companies issue common stock. When you own common stock, you share in a company's success. When the company does well its stock price will likely grow higher than what you paid for it. You also can suffer from unfavorable company news that results in a lower stock price.

  • 5 dos and don’ts for greater financial security Financial Industry Regulatory Authority (FINRA) - Tue, Feb 4, 2014 4:53 PM EST
    5 Dos and Don’ts for Greater Financial Security

    Here are five tips to help you manage daily financial challenges and build a brighter financial future in 2014.

  • The IRA Rollover: 10 Tips to Making a Sound Decision Financial Industry Regulatory Authority (FINRA) - Tue, Jan 28, 2014 11:40 AM EST
    The IRA Rollover: 10 Tips to Making a Sound Decision

    The largest source of IRA contributions comes from individuals who move their money from their employer-sponsored retirement plans such as 401(k) and 403(b) plans when they leave a job, according to the Employee Benefit Research Institute. If you are considering rolling over money from an employer plan into an IRA—or if …

  • Stock Basics: What Happens When You Invest Financial Industry Regulatory Authority (FINRA) - Tue, Jan 21, 2014 11:45 AM EST
    Stock Basics: What Happens When You Invest

    All the key market indicators that measure stock performance posted handsome returns. The Dow Jones Industrial Average gained 26.5 percent in 2013, with the S&P 500 up nearly 30 percent and the NASDAQ index up 38 percent.

  • What You Need to Know about Mutual Fund Fees Financial Industry Regulatory Authority (FINRA) - Tue, Jan 14, 2014 1:00 PM EST
    What You Need to Know about Mutual Fund Fees

    The higher the fees you pay while owning a mutual fund, the lower the returns generated by your fund shares. Mutual funds are required to describe their fees in detail in their prospectus. They compensate the mutual fund's portfolio manager or investment advisor who directs the fund's stock or bond portfolio strategy …

  • The Lowdown on Mutual Fund Sales Loads Financial Industry Regulatory Authority (FINRA) - Tue, Jan 7, 2014 11:00 AM EST
    The Lowdown on Mutual Fund Sales Loads

    Investors put more money into U.S. stock mutual funds in 2013 than they took out. If you want your mutual fund investment to work for you, it pays to know about fund sales charges, also called loads. When you buy mutual fund shares from a stockbroker or other investment professional, you'll likely pay a sales charge or …

  • CDs Offer Safe, Predictable Returns Financial Industry Regulatory Authority (FINRA) - Tue, Dec 31, 2013 11:20 AM EST
    CDs Offer Safe, Predictable Returns

    You've likely seen ads from financial institutions touting the interest rates of their certificates of deposits (CDs), all competing for your savings. CDs offer safe, predictable returns at higher interest rates than you can receive from a savings account. Like savings accounts, the Federal Deposit Insurance Corporation …

  • How to Spot the Red Flags of Financial Fraud Financial Industry Regulatory Authority (FINRA) - Tue, Dec 24, 2013 12:00 PM EST
    How to Spot the Red Flags of Financial Fraud

    Red Flag Rule: Take time to think through the pitch. "Believe me, as a specialist in senior living and an executive at XYZ firm, I would never sell an investment that doesn't produce." Red Flag Rule: A seller may have a corner office, framed diplomas or certificates and wear a suit. Red Flag Rule: Does the pitch focus …

  • Money Market Accounts Combine Checking and Savings Features Financial Industry Regulatory Authority (FINRA) - Tue, Dec 17, 2013 4:30 PM EST
    Money Market Accounts Combine Checking and Savings Features

    Money Market Accounts Combine Checking and Savings Features Wouldn’t it be great to have all that with a slightly higher interest rate and check-writing privileges? Money market accounts usually pay a better rate than traditional savings accounts. They are also insured at banks by the Federal Deposit Insurance Corporation …

  • FDIC Deposit Insurance—Are Your Accounts Protected? Financial Industry Regulatory Authority (FINRA) - Tue, Dec 10, 2013 1:00 PM EST
    FDIC Deposit Insurance—Are Your Accounts Protected?

    More than 450 banks in the United States failed and were closed by the Federal Deposit Insurance Corporation (FDIC) from the 2008 peak in financial crisis on through 2012. Yet, no one with FDIC-insured deposits in those banks lost money due to those failures. In fact, according to the FDIC, "no depositor has ever lost …

  • When Should I Reveal My Social Security Number? Financial Industry Regulatory Authority (FINRA) - Tue, Dec 3, 2013 4:00 PM EST
    When Should I Reveal My Social Security Number?

    Identity theft is real, and many tips urge you to safeguard your Social Security number as an important way to prevent it from happening to you. While not every request for your Social Security number is an effort to steal your identity, not all such requests are mandatory. • Banks, credit card issuers or other lenders …

  • Savings Accounts Offer Safety and Convenience Financial Industry Regulatory Authority (FINRA) - Tue, Nov 26, 2013 11:00 AM EST
    CDs Offer Safe, Predictable Returns

    A savings account at a bank or credit union is a safe, convenient way to meet a financial goal. A basic savings account is a tried and true way to save for a down payment on a house, or build an emergency fund to handle unexpected expenses. The money you put in a bank account is insured by the Federal Deposit Insurance …

  • Don't Let Identity Thieves Steal Your Financial Stability Financial Industry Regulatory Authority (FINRA) - Tue, Nov 19, 2013 3:45 PM EST
    Don't Let Identity Thieves Steal Your Financial Stability

    You took the time to improve your credit score, pay down debt and get on a stable financial track. But all that hard work can unravel if you become a victim of identity theft. Identity theft occurs when someone steals personal information, such as your Social Security number, birth date or mother's maiden name. 3. Ensure …

  • Plan for the Unexpected with an Emergency Fund Financial Industry Regulatory Authority (FINRA) - Tue, Nov 12, 2013 2:05 PM EST
    Plan for the Unexpected with an Emergency Fund

    The best place for your emergency fund is in a liquid (easily accessible) account. To earn a slightly higher interest rate, some people choose a certificate of deposit, or CD, for their emergency fund, or a series of CDs of approximately equal value, with one maturing every six months or every year. But in a real emergency, …

  • Your Credit Score Affects Your Financial Health Financial Industry Regulatory Authority (FINRA) - Tue, Nov 5, 2013 2:30 PM EST
    Your Credit Score Affects Your Financial Health

    Your credit score is a rating that helps lenders decide whether to give you loans such as a mortgage, car loan or credit card. Your credit score also helps determine the interest rate you'll pay. The higher your credit score, the better the credit terms you will receive. A score above 720 can give you some of the best …

  • Stock Up on Information Before Buying Stock Financial Industry Regulatory Authority (FINRA) - Tue, Oct 15, 2013 12:00 AM EDT
    Stock Up on Information Before Buying Stock

    One of the most important consumer tips is know what you are buying . This maxim certainly applies to investing in stocks. There are well over 20,000 companies whose shares trade either on a U.S. exchange ...

  • Use Caution Before Chasing Return Financial Industry Regulatory Authority (FINRA) - Tue, Oct 8, 2013 2:40 PM EDT
    Use Caution Before Chasing Return

    In today's nearly zero-yield environment, investors who seek predictable income find it hard to meet their goals. Some turn to complex or alternative investments and take risks they either do not understand ...

  • Even Professional Investors Might Not Spot a Fraud Financial Industry Regulatory Authority (FINRA) - Tue, Oct 1, 2013 11:00 AM EDT
    Even Professional Investors Might Not Spot a Fraud

    Even experienced professional investors can find it difficult to avoid investment fraud. Steve Sampler knew a thing or two about finance when he first heard about an opportunity to invest in an oil well. ...

  • "Phantom Riches" Cost Real Estate Investor $82,000 Financial Industry Regulatory Authority (FINRA) - Tue, Sep 24, 2013 10:00 AM EDT
    "Phantom Riches" Cost Real Estate Investor $82,000

    Phantoms lurk in every investment scam. Sometimes they take the form of big payoffs; other times they are the security of "guaranteed" returns. Fraud experts call them "phantom riches." ...

  • Private Placements—Evaluate the Risks before Placing Them in Your Portfolio Financial Industry Regulatory Authority (FINRA) - Tue, Sep 17, 2013 2:25 PM EDT
    Private Placements—Evaluate the Risks before Placing Them in Your Portfolio

    Each year, companies raise billions of dollars selling securities in non-public offerings of securities that are exempt from registration under the federal securities laws. These offerings, known as private ...

  • Many of Us Are Exposed to Financial Scams Financial Industry Regulatory Authority (FINRA) - Fri, Sep 13, 2013 2:00 PM EDT
    Many of Us Are Exposed to Financial Scams

    The FINRA Investor Education Foundation issued a new research report, Financial Fraud and Fraud Susceptibility in the United States , based on a survey of nearly 2,400 U.S. adults age 40 and older. The ...

  • Before You Invest, Calculate Cash Flow Financial Industry Regulatory Authority (FINRA) - Tue, Sep 10, 2013 12:30 PM EDT
    Before You Invest, Calculate Cash Flow

    Before you invest for the long term, know where you stand today. An important step is to calculate your monthly cash flow to see if you have funds to invest. Start by getting a handle on your monthly net ...

  • When Investing, Look Beyond the Seller's Name Financial Industry Regulatory Authority (FINRA) - Tue, Sep 3, 2013 3:35 PM EDT
    When Investing, Look Beyond the Seller's Name

    Even if a person selling you an investment has a good reputation in your community, you still need to check out the seller and the investment for yourself. If you don’t, you may be putting yourself at ...

  • 6 Tips for Taking Control of Your Financial Future Financial Industry Regulatory Authority (FINRA) - Tue, Aug 27, 2013 3:45 PM EDT
    6 Tips for Taking Control of Your Financial Future

    Only a quarter of U.S. adults are satisfied with their current financial situation, according to a U.S. Financial Capability Survey released by the FINRA Investor Education Foundation. Here are six tips ...

  • FINRA Warns Investors of Marijuana Stock Scams Financial Industry Regulatory Authority (FINRA) - Tue, Aug 20, 2013 12:15 PM EDT

    The Financial Industry Regulatory Authority (FINRA) issued a new Investor Alert to warn investors about potential scams associated with marijuana-related stocks. Medical marijuana is legal in almost 20 ...

  • Know Your Net Worth Financial Industry Regulatory Authority (FINRA) - Wed, Aug 14, 2013 11:00 AM EDT
    Know Your Net Worth

    An important first step in controlling your financial future is calculating your net worth . It's not hard: add up what you own and subtract what you owe. Creating a net worth statement, and updating it ...

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