Resources

Taking Action: An Advocates Guide to Assisting Victims of Financial Fraud 

This toolkit provides those who serve the more than 30 million Americans who are victims of financial fraud every year with an important new tool to aid their clients. This groundbreaking new guide is designed for consumer advocates, lawyers, counselors and other victim service providers.

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The FINRA Investor Education Foundation created this toolkit as part of a research-based program—including an hour-long documentary, interactive curriculum and printed and online materials—in collaboration with AARP, the U.S. Securities and Exchange Commission (SEC), state securities regulators and noted fraud experts.

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Fighting Fraud 101: Smart Tips for Investors

Even people have who have never been subjected to a fraudster’s sales pitch probably know someone who has. This publication from the FINRA Investor Education Foundation examines how older investors are targeted and what they can do about it.

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En espanol

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Avoiding Investment Scams

This FINRA Alert warns investors about classic types of investment fraud and helps investors spot and avoid the types of persuasion tactics used by fraudsters. It also describes key ‘red flags’ and provides tools to help people avoid fraud. 

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Investor Knowledge Quiz

Millions of Americans invest in U.S. equities. While some investors rely on investment professionals for advice, others choose to chart their own investment course. But regardless of exactly where they invest and whose advice they seek, FINRA believes all investors should have access to basic educational information about investing. This quiz includes some of the questions from a FINRA survey and explains the correct answers.

http://www.finra.org/Investors/ToolsCalculators/P116940

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Arbitration and Mediation

FINRA operates the largest dispute resolution forum in the securities industry to assist in the resolution of monetary and business disputes between investors, brokerage firms, and individual brokers.

http://www.finra.org/ArbitrationAndMediation/index.htm

Before You Invest

Before undertaking any investment program, people should assess their current situation and determine goals. This online tool helps with that process.

http://www.finra.org/Investors/ProtectYourself/BeforeYouInvest/

BrokerCheck

BrokerCheck is a free tool to help investors research the professional backgrounds of current and former FINRA-registered brokerage firms and brokers, as well as investment adviser firms and representatives. It should be the first resource investors turn to when choosing whether to do business or continue to do business with a particular firm or individual.

http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/

Financial Fraud Research Center

A partnership between the Stanford University Center on Longevity and FINRA, the center provides assistance to individuals and organizations with research, policy-making, and advocacy. It provides access to the latest developments in financial fraud research.

http://fraudresearchcenter.org/

Financial Fraud Conference

FINRA Chairman and CEO Rick Ketchum spoke at the 2011 Research Center on the Prevention of Financial Fraud 2011 Conference. These are his remarks.

www.finra.org/newsroom/speeches/ketchum/p125039

FINRA Home Page

FINRA is dedicated to providing information about safe investing and how to build financial knowledge. It offers articles, interactive tools, alerts, and other resources that help protect against investment fraud.

http://www.finra.org/

Fraud Stories

Fraud Stories: Victims and Cons

FINRA presents personal stories about investment fraud from the victims themselves.

http://www.saveandinvest.org/FraudCenter/FraudStories/

Fund Analyzer

The Fund Analyzer offers information and analysis on more than 18,000 mutual funds, Exchange Traded Funds (ETFs) and Exchange Traded Notes (ETNs). This tool estimates the value of the funds and impact of fees and expenses on an investment and provides the ability to look up applicable fees and available discounts for funds.

http://apps.finra.org/fundanalyzer/1/fa.aspx

Investor Alerts

FINRA’s Investor Alerts deal with current issues and problems relating to investment fraud.

http://www.finra.org/Investors/ProtectYourself/InvestorAlerts/

Investor Complaint Center

FINRA operates an Investor Complaint Center that is designed to receive complaints from investors regarding their brokers and/or the firms that employ them. FINRA's role is to investigate these complaints for potential violations of securities laws or regulations. This page discusses some of the most common problems reported by investors in their complaints to FINRA.

http://www.finra.org/Investors/ProtectYourself/p118628

Investor Complaint Program

This brochure tells investors and prospective investors what to do when problems arise.

http://www.finra.org/web/groups/investors/@inv/@protect/@after/documents/investors/p011944.pdf

Investor Podcasts 

FINRA’s Investor Podcasts discuss the timely financial issues and information needed to save smarter and weather today's turbulent stock markets. Investor Podcasts also help protect a portfolio by reporting trends in investment fraud and other traps investors at all wealth and experience levels should avoid.

http://www.finra.org/Investors/SmartInvesting/GettingStarted/Podcasts/

Outsmarting Investment Fraud: Program and Toolkit

This toolkit, which can be used by volunteer instructors, community and civic leaders, and crime prevention practitioners teaches investors how to protect their families and finances against investment fraud. From workshop ideas and planning templates, to tips on how to reach the media and engage local partners, this step-by-step guide can help in talking about investment fraud and reaching out to investors in the community.

http://www.saveandinvest.org/FraudCenter/ProgramOutreachToolkit/

Prohibited Conduct

Certain types of conduct in the securities industry are prohibited, including those at the link below.

http://www.finra.org/investors/protectyourself/beforeyouinvest/prohibitedconduct/

Professional Designations Data Base

Before engaging an investment professional, potential investors can make sure they know more about the professional than just their name and professional designation.

http://apps.finra.org/DataDirectory/1/prodesignations.aspx 

Risk Meter 

FINRA’s Risk Meter enables users to see whether they share characteristics and behavior traits that have been shown to make some investors vulnerable to investment fraud.

http://apps.finra.org/meters/1/riskmeter.aspx

SaveAndInvest.org

SaveAndInvest.org is a not-for-profit resource dedicated to the financial health of investors and potential investors. It provides unbiased financial tools and information for military families and all investors.

Scam Meter

FINRA’s Scam Meter helps people tell if an investment they are thinking about might be a scam. It asks just four simple questions.

http://apps.finra.org/meters/1/scammeter.aspx

Senior Fraud Risk Survey

This 2007 survey benchmarked the behavioral norms of senior with regard to risk and openness to investment pitches.

http://www.finra.org/web/groups/sai/@sai/documents/sai_original_content/p036702.pdf 

Tricks of the Trade: Outsmarting Invest Fraud

This hour-long documentary on preventing invest fraud was shown on public television stations nationwide. Copies of the video are free. Watch the trailer at the link below and order online or call 866-973-4672.

http://www.saveandinvest.org/fraudcenter/p124313

Understanding Professional Designations

Before engaging an investment professional, people can find out more about him or her than just the name and professional designation by going to this link. http://apps.finra.org/DataDirectory/1/prodesignations.aspx

Year-End Investment Considerations for Individual Investors

This alert from the Securities and Exchange Commission and FINRA’s Investor Education Foundation aims to provide individual investors with suggestions for investment planning as the year draws to a close.

http://www.finra.org/Investors/ProtectYourself/InvestorAlerts/MoneyManagement/P197390