Top Investor Threats of 2012

Thursday, January 3, 2013

What were the top investor threats of 2012?  According to a speaker during the NASAA roundtable session at the November, 2012 annual meeting of the Public Investors Arbitration Bar Association, the top four new threats were:
  1. Crowd funding / internet securities offerings
  2. Inappropriate advice or practices by investment advisors
  3. Scams involving self-directed IRAs to mask fraud
  4. EB-5 investment for visa scams
The top six persistent threats were:
  1. Gold / precious metals
  2. Risky oil / gas drilling schemes
  3. Promissory notes
  4. Real estate investment schemes
  5. Reg. D / Rule 506 private offerings
  6. Unlicensed salespersons giving liquidation recommendations (for example, recommendations to sell stocks to buy a variable annuity by an insurance agent not licensed as an investment advisor or stockbroker)

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