{"id":9316,"date":"2020-09-08T14:44:16","date_gmt":"2020-09-08T18:44:16","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=9316"},"modified":"2020-09-08T14:44:16","modified_gmt":"2020-09-08T18:44:16","slug":"sec-issues-investor-alert-urging-caution-for-broadly-advertised-investments","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/sec-issues-investor-alert-urging-caution-for-broadly-advertised-investments\/","title":{"rendered":"SEC Issues Investor Alert Urging Caution For \u201cBroadly Advertised\u201d Investments"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-8713 size-medium\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2020\/01\/SEC-300x200.jpg\" alt=\"The SEC\u2019s Division of Enforcement\u2019s Retail Strategy Task Force and Office of Investor Education and Advocacy (OIEA) have released an investor alert encouraging investors to be careful when investing in offerings that are \u201cbroadly advertised\u201d. Did you invest with an unregistered stockbroker? Investments take many forms; many securities are investments other than stocks listed on a national exchange. Over the last decade, some of the largest Ponzi schemes in America were assisted by unregistered financial advisors selling unregistered securities. While investments which are not directly tied to the stock market may seem attractive at first, many of these investments are still high risk and are being sold under false pretenses. Ponzi schemes targeting unsophisticated investors seeking conservative investments still dominate our headlines and are frequently perpetrated by those who seek to hide behind exemptions from registration or compliance with the federal securities laws.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2020\/01\/SEC.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2020\/01\/SEC-180x120.jpg 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>The SEC\u2019s Division of Enforcement\u2019s Retail Strategy Task Force and Office of Investor Education and Advocacy (OIEA) have released an investor alert encouraging investors to be careful when investing in offerings that are \u201cbroadly advertised\u201d.<\/p>\n<p>Did you invest with an unregistered stockbroker? Investments take many forms; many securities are investments other than stocks listed on a national exchange. Over the last decade, some of the largest Ponzi schemes in America were assisted by unregistered financial advisors selling unregistered securities. <a href=\"https:\/\/www.silverlaw.com\/blog\/sec-issues-investor-alert-urging-caution-for-broadly-advertised-investments\/#more-9316\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>The SEC\u2019s Division of Enforcement\u2019s Retail Strategy Task Force and Office of Investor Education and Advocacy (OIEA) have released an investor alert encouraging investors to be careful when investing in offerings that are \u201cbroadly advertised\u201d. Did you invest with an unregistered stockbroker? Investments take many forms; many securities are investments other than stocks listed on [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[595,580],"tags":[],"class_list":["post-9316","post","type-post","status-publish","format-standard","hentry","category-investment-fraud","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>SEC Urges Caution For \u201cBroadly Advertised\u201d Investments<\/title>\n<meta name=\"description\" content=\"The Security and Exchange Commission has released an investor alert encouraging investors to be careful with \u201cbroadly advertised\u201d investments.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link 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