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Activision Blizzard to Pay $35 Million for Failing to Maintain Disclosure Controls Related to Complaints of Workplace Misconduct and Violating Whistleblower Protection Rule

Activision Blizzard to Pay $35 Million for Failing to Maintain Disclosure Controls Related to Complaints of Workplace Misconduct and Violating Whistleblower Protection Rule

The Securities and Exchange Commission today announced that Activision Blizzard Inc., a video game development and publishing company, agreed to pay $35 million to settle…

Imposter Scams: Don’t Be Fooled By “Guarantees” or Money-Making Pitches from “Regulators”

Imposter Scams: Don’t Be Fooled By “Guarantees” or Money-Making Pitches from “Regulators”

FINRA is issuing this Alert to warn investors that scammers are posing as regulators to separate you from your money. We want you to know…

Know Before You Share: Be Mindful of Data Aggregation Risks

Know Before You Share: Be Mindful of Data Aggregation Risks

If putting all your financial information online and in one place sounds like a good idea, there are many companies—often called data aggregators—ready to help…

Job Dislocation—Managing the Financial Impact of Unexpected Job Loss

Job Dislocation—Managing the Financial Impact of Unexpected Job Loss

You may not be able to control if or when your company closes a plant or lays off workers—but you can take steps to manage…

Advance-Fee Frauds Keep Dropping the FINRA Name—Don’t Fall for “Regulator” Imposter Ploys

Advance-Fee Frauds Keep Dropping the FINRA Name—Don’t Fall for “Regulator” Imposter Ploys

Fraudsters continue to impersonate FINRA executives, offering bogus investment “guarantees” to investors as part of an advance-fee scam. Read more about the lengths these fraudsters…

It Pays to Understand Your Brokerage Account Statements and Trade Confirmations

It Pays to Understand Your Brokerage Account Statements and Trade Confirmations

FINRA is re-issuing this alert to remind investors about the key elements of their brokerage account statements and trade confirmations and to provide tips that…

Initial Coin Offerings (ICOs)—What to Know Now and Time-Tested Tips for Investors

Initial Coin Offerings (ICOs)—What to Know Now and Time-Tested Tips for Investors

FINRA is issuing this alert to inform investors that investments in digital assets, such as ICO tokens and cryptocurrencies, can involve significant uncertainty, as well…

It Pays to Pay Attention to Your Brokerage Account Statements

It Pays to Pay Attention to Your Brokerage Account Statements

One of the best ways you can protect your investment portfolio is to monitor your holdings and activity. You should make it a habit to…

Social Sentiment Investing Tools—Think Twice Before Trading Based on Social Media

Social Sentiment Investing Tools—Think Twice Before Trading Based on Social Media

FINRA and the SEC’s Office of Investor Education and Advocacy are issuing this Investor Alert to inform investors about social sentiment investing tools and highlight…

Stock Up on Information Before Buying Stock

Stock Up on Information Before Buying Stock

If you view market volatility as an opportunity to purchase more stock at a favorable price, make sure you look beyond the ticker symbol to…