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As Tricks of the Trade explains, an investment fraud victim is not the stereotypical frail, little old woman living alone. Anyone can be a target of investment fraud. Here are tools and useful links to help you avoid investment fraud, including: an investor knowledge quiz, tips for older investors, finding a registered professional and many more.
Vermont Securities Division Investor Education Program
The Securities Division is part of the Department of Banking, Insurance, Securities & Health Care Administration (BISHCA), which protects consumers against unfair and unlawful business practices. Its Investor Education Program promotes financial literacy for Vermonters of all ages. They offer extensive resources for investors on their website, including:
Investor Information
From investing basics to special alerts in the state, find tools and resources to help you become an informed investor and make investment decisions that are the right for you.
Find a Registered Professional
By law, broker-dealers and some investment advisors must be registered in Vermont to do business here. Dealing with an unregistered seller or advisor greatly increases the risk of harm to you as an investor.
Top Ten Investor Scams
The Vermont Securities Division, in partnership with the North American Securities Administrators Association, Inc. (NASAA), have identified the Top Ten investment scams, ranked in order of prevalence and seriousness.
Investor Do's & Dont's
Let's cut to the chase – here are some tips about what to do and what NOT to do!
Tips for Older Investors
An increasing number of Vermont Investors are at or near retirement age. Because these "senior investors" are a growing segment of investors, they are often the number one targets of investment con-artists.
File a Complaint
If you think you have been the victim of investment fraud, file a claim online or contact the Vermont Securities Division toll free at 1-877-550-3907.
Investors Beware Becoming an informed investor is the best defense against investment scams.
FINRA Investor Education Foundation
The FINRA Investor Education Foundation provides underserved Americans with the knowledge, skills and tools necessary for financial success throughout life. SaveAndInvest.org (http://www.saveandinvest.org) is the FINRA Foundation website that supports the financial education of military families and older investors.
Investment Fraud Risk Meter
Are you at risk? Use this Risk Meter to see whether you share characteristics and behavior traits that have been shown to make some investors vulnerable to investment fraud.
Investment Fraud Scam Meter
Are you being scammed? While there's no clear way to know, in just four questions the Scam Meter will help you tell if an investment you are thinking about might be a scam.
Investor Knowledge Quiz
FINRA recently surveyed investors to get an idea of what people know – and what people may not know – about investing. This quiz includes some questions from their survey, and explains the correct answers.
Outsmarting Investment Fraud Program and Outreach Toolkit
Whether you are a state securities regulator, a representative of the State Attorney General's office or a member of a volunteer or civic organization, this toolkit contains everything you need to teach investors how to protect their families and finances against investment fraud. From workshop ideas and planning templates, to tips on how to reach the media and engage local partners, this step-by-step guide can help you in talking about investment fraud and reaching out to investors in your community.
Common Investment Scams
"Free Lunch" Seminars
Investors frequently get invited to free seminars that promise to educate them about investing strategies or managing money in retirement—often with an expensive meal provided at no cost. But just because someone buys you breakfast, lunch or dinner doesn't mean you have to buy what they are saying—or selling.
Common Scams
Check out these investor alerts about common investment scams.
The Securities Division is part of the Department of Banking, Insurance, Securities & Health Care Administration (BISHCA), which protects consumers against unfair and unlawful business practices. Its Investor Education Program promotes financial literacy for Vermonters of all ages. They offer extensive resources for investors on their website, including:
Investor Information
From investing basics to special alerts in the state, find tools and resources to help you become an informed investor and make investment decisions that are the right for you.
Find a Registered Professional
By law, broker-dealers and some investment advisors must be registered in Vermont to do business here. Dealing with an unregistered seller or advisor greatly increases the risk of harm to you as an investor.
Top Ten Investor Scams
The Vermont Securities Division, in partnership with the North American Securities Administrators Association, Inc. (NASAA), have identified the Top Ten investment scams, ranked in order of prevalence and seriousness.
Investor Do's & Dont's
Let's cut to the chase – here are some tips about what to do and what NOT to do!
Tips for Older Investors
An increasing number of Vermont Investors are at or near retirement age. Because these "senior investors" are a growing segment of investors, they are often the number one targets of investment con-artists.
File a Complaint
If you think you have been the victim of investment fraud, file a claim online or contact the Vermont Securities Division toll free at 1-877-550-3907.
Investors Beware Becoming an informed investor is the best defense against investment scams.
FINRA Investor Education Foundation
The FINRA Investor Education Foundation provides underserved Americans with the knowledge, skills and tools necessary for financial success throughout life. SaveAndInvest.org (http://www.saveandinvest.org) is the FINRA Foundation website that supports the financial education of military families and older investors.
Investment Fraud Risk Meter
Are you at risk? Use this Risk Meter to see whether you share characteristics and behavior traits that have been shown to make some investors vulnerable to investment fraud.
Investment Fraud Scam Meter
Are you being scammed? While there's no clear way to know, in just four questions the Scam Meter will help you tell if an investment you are thinking about might be a scam.
Investor Knowledge Quiz
FINRA recently surveyed investors to get an idea of what people know – and what people may not know – about investing. This quiz includes some questions from their survey, and explains the correct answers.
Outsmarting Investment Fraud Program and Outreach Toolkit
Whether you are a state securities regulator, a representative of the State Attorney General's office or a member of a volunteer or civic organization, this toolkit contains everything you need to teach investors how to protect their families and finances against investment fraud. From workshop ideas and planning templates, to tips on how to reach the media and engage local partners, this step-by-step guide can help you in talking about investment fraud and reaching out to investors in your community.
Common Investment Scams
"Free Lunch" Seminars
Investors frequently get invited to free seminars that promise to educate them about investing strategies or managing money in retirement—often with an expensive meal provided at no cost. But just because someone buys you breakfast, lunch or dinner doesn't mean you have to buy what they are saying—or selling.
Common Scams
Check out these investor alerts about common investment scams.
Investment fraud does happen … and it can happen to you. "Tricks of the Trade: Outsmarting Investment Fraud" is an hour-long documentary on preventing investment fraud. Utilizing compelling stories of victims and perpetrators, the video uncovers the persuasion tactics that con artists use to defraud their victims and the basic tools investors can use to defend against fraud. You can also order your free copy by calling 1-866- 973-4672.
