Investor Resources

Here is an article on avoiding investment scams I wrote for the Enterprise Magazine: “Top Ten Ways to Avoid Losing Money In a Financial Scam

Here is a link to an op-ed article I wrote for the Salt Lake Tribune in December of 2008 entitled The Perils of Investing with Friends and Ward Members. This includes a discussion about how to perform due diligence on a potential investment — and the person offering it.

The Utah Division of Securities

Video Public Service Announcements produced by the Utah Division of Securities

The Financial Industry Regulatory Authority, Inc. (FINRA) – formerly known as NASD

FINRA’s investor education website offers unbiased information and strategies to avoid investment fraud to help you—and your friends, neighbors and family, too.

FINRA’s Broker Check – this is a very useful website that you can use to check out the disciplinary history of your broker or investment adviser representative.

FINRA’s disciplinary actions database contains information about actions it has brought against brokers or brokerage firms.

Investor Alerts on Frauds and Scams – this is FINRA’s page that contains alerts on frauds and scams that they are seeing.

Investor Alert on Affinity Fraud from the North American Securities Administrators Association, Inc

Fighting Fraud 101: Smart Tips for Older Investors

Investment Adviser Public Disclosure Page – This is the SEC’s website to obtain the Form ADV for you investment adviser.

The Securities and Exchange Commission

Financial Industry Legal Resources

Investment News – the leading news source for financial advisers

SEC Actions – a blog about the latest developments in SEC enforcement

SEC’s Edgar Database

The Sanford Class Action Database

The Alliance for Investor Education has compiled a list of resources to help investors distinguish between legitimate high-risk investments and deals that are too good to be true on its website called “Understanding High-Risk Investments – What Investors Need to Know To Invest Safely and Wisely”

The North American Securities Administrators Association publishes a list of financial products and practices that “threaten to trap unwary investors” annually.

“Outrageous Advertising: A Survival Guide for Investors” is published by the American Association of Individual Investors.

The “Consumer Guide to Financial Self-Defense” from the Certified Financial Planner Board of Standards discusses 10 “red flags” that should alert investors to possible fraud and offers “self-defense moves” for each.

An article called “Investment Risks” published by the Federal Trade Commission contains a list of 10 “pre-investment” questions (with discussions) that you should ask both the person soliciting your business.