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SEC: BEWARE OF "FAKE FORMS" INVESTMENT SCAM
12/09/2016

The Securities and Exchange Commission's Office of Investor Education and Advocacy recently issued an investor alert warning investors about potential investment schemes in which fraudsters send fake supposed "confirmations" under the guise of fake Forms 4 (which actually are not trade confirmations) to investors who paid for the purported purchase of shares. The potential scams in which fraudsters may pose as brokers pretending to sell pending IPO or pre-IPO shares of well-known companies was recently discovered by the SEC. Fraudsters sometimes use official looking forms that seem to come from the SEC or another legitimate source to establish credibility with the victim. In some cases, the fraudsters have emailed fake Forms 4 from a source pretending to be the SEC claiming that the fake form confirms the investor's purchase of the shares. It is unclear whether the investors have actually purchased any shares. Instead, the fraudsters may have simply stolen their money. The fraudsters may also provide online account access to investors on a website that looks like a brokerage firm website ... HIGHLIGHTED EVENT: Want to learn more about investing? Attend an AAII Local Chapter Meeting near you ...

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A foundation partnering for the financial well-being of the public, the National Endowment for Financial Education (NEFE) evolved from and served as the parent entity of the Denver-based, non-profit College for Financial Planning, which was founded in 1972 as the nation's first financial planning educational institution. NEFE is the only private, nonprofit foundation wholly dedicated to educating Americans about personal finance and empowering them to make positive and sound decisions in order to reach their financial goals. NEFE is completely non-partisan, unbiased and focused on consumer education, providing a crucial voice against the rapid rise in unchecked consumer spending and debt accumulation.



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