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Protect Your Money

All investments come with the risk of losses from fluctuations in the securities markets. But there are ways to you can protect your investments from the risks of fraud and errors.

Five Tips for Taking Control of Your Finances

Many of us spend a lot of time focusing on our finances during tax season—but we really should focus on them year-round to avoid any surprises. No matter the season, NOW is the time to take stock of your finances. Here are tips to help you take control of your finances.

Understand Account Statements and Trade Confirmations

When you invest, your accounts generate a great deal of paperwork, ranging from trade confirmations to account statements, and, of course, IRS Form 1099 tax records.

Although the volume might feel overwhelming, reviewing and managing your account information is essential. Doing so can help you stay on top of your investment holdings, and alert you to errors—or even misconduct like unauthorized trading. See tips for monitoring your statements.

Avoid Problems with Your Broker

These ten tips can help you manage your investments—and your relationship with your broker.

Psychology of Scams

Investment scams are getting more sophisticated and scammers are talented at deceiving people. Read about the psychology of scams and how you can avoid being deceived.

How to Report a Problem

Have you had a problem with a securities professional or firm? Do you know someone who was a victim of an investment scam? You can file a complaint with FINRA, the Financial Industry Regulatory Authority. See information on who to contact.

Investor Alerts

Investor Alerts from FINRA are a great way to keep up to date on investing. The alerts include tips on investment products, fraud and scams, trading securities and more. See FINRA’s Investor Alerts, and register to receive them via RSS feeds or email.