Top 10 Investor Traps
We are often asked, “What kinds of frauds and scams does the Securities Board see most often?” We put together an annual list of the top investment scams and securities fraud we see in Texas. Familiarizing yourself with the traps listed here will help prevent you and your family from being victims of investment scams.
FINRA Broker Check
*Please Note: The disclosure information from the FINRA Public Disclosure Program does not contain all of the disclosure information on a broker or broker-dealer. More complete information is available from our Registration Division at (512) 305-8300, or email your request to firstname.lastname@example.org.
Investment Adviser Check
*Please note: The IAPD system contains information from Parts I and II of the Form ADV as entered by the advisory firm as well as information about the firm's investment adviser representatives who have been authorized to provide investment advisory services to Texas residents. If you fail to find any record of registration on your adviser, contact our Registration Division at (512) 305-8300 or email your request to email@example.com.
File a Complaint with the Texas State Securities Board
*Please note: If you are working with a CERTIFIED FINANCIAL PLANNER™ professional and have concerns about the financial services you are receiving, in addition to filing a complaint with the Texas State Securities Board, you may also file a complaint directly with the CFP Board by using the online complaint form found at http://www.cfp.net/Learn/submit.asp