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Government Resources for Individual Investors Concerned About Fraud

October 31, 2018 Blog

As an investor, you expect to deal with market fluctuations, and you understand that your portfolio will experience ups and downs over time. But, one thing you do not expect is to lose your life’s savings to broker or investment advisor fraud. Unfortunately, in today’s world this is a legitimate concern, and individual investors must diligently monitor their portfolios and take action at the first sign of potential fraud.

If you are concerned about fraud, our website provides a wealth of information to help you understand your situation, and you can call us or contact us online for a free consultation about your legal rights. For more information, you can also visit these government resources:

1. is an informational website maintained by the U.S. Securities and Exchange Commission (SEC). Here, you will find information about investing basics, doing your research before you invest and protecting your investment portfolio. The website also provides a link to the SEC’s Investment Adviser Public Disclosure website, where you can find out if an investment advisor or advisory firm is registered to offer services to retail investors.

2. SEC Investor Alerts and Bulletins

The SEC regularly publishes Investor Alerts and Bulletins on topics ranging from scam alerts to general investor safety. You can easily browse Investor Alerts and Bulletins from the last several years; or, if you have a specific question, you can search for a particular investment product or type of investment fraud.

3. SEC Press Releases

The SEC also regularly publishes Press Releases highlighting its fraud enforcement efforts targeting brokers and investment advisors. The SEC’s Press Releases typically include links to Complaints filed against individual investment professionals and investment firms; and, if you have concerns, you can search by name to see if your investment professional or investment firm is garnering unwanted attention from the SEC.

4.  FINRA For Investors

While not technically a government agency, the Financial Industry Regulatory Authority (FINRA) is one of the key authorities tasked with helping to protect individual investors. FINRA’s For Investors page provides educational resources, links to news releases, and access to BrokerCheck, where you can research a broker’s employment and disciplinary history.

5. PBGC Fraud Alerts

The Pension Benefit Guaranty Corporation (PBGC) is the federal government agency responsible for protecting employees who participate in private-sector pension plans. The PBGC’s Fraud Alerts provide information about fraud scams targeting pensions and other retirement benefit programs.

6. FBI: Investment Fraud

The Federal Bureau of Investigation’s (FBI) Investment Fraud page provides information about common types of investment fraud and a list of tips you can follow to reduce your risk of falling victim to fraud.

7. Common Scams and Frauds

The Common Scams and Frauds section of provides links to information about investment fraud and other fraud scams and security threats that are potential risks for individual investors.

Speak With an Investment Fraud Attorney at Zamansky, LLC

If you believe that you may be a victim of investment fraud, we encourage you to get in touch. We can help you understand your situation; and, if warranted, we can take legal action to recover your investment losses. To learn more in a free and confidential consultation, call us at 212-742-1414, or tell us how to reach you online and we will be in touch with you shortly.