Gerri Walsh

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  SEC, FINRA: Beware Pension, Settlement Income Stream Deals

  By Melanie Waddell, AdvisorOne  |  May 10, 2013

  In a joint alert issued Thursday, the SEC and FINRA provide investors with information about what to do before buying or selling such rights and urge them to proceed with caution.

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  FINRA Warns on Bonds’ Duration Risk

  By Melanie Waddell, AdvisorOne  |  February 14, 2013

  FINRA issued an alert Thursday underscoring the importance of a bond’s duration risk in the current low-interest-rate environment.

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  Beware of Stock Scams Tied to ‘Natural’ Products, FINRA Warns

  By Melanie Waddell, AdvisorOne  |  May 16, 2012

  FINRA issued an Investor Alert warning investors about stock scams related to nutraceutical companies that sell fortified foods, energy drinks and “natural” medicines.

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  Email Hackers Stealing Investor Funds, FINRA Warns

  By Melanie Waddell, AdvisorOne  |  January 26, 2012

  FINRA issued an Investor Alert on Thursday warning investors that email hacking is on the rise, and that they should immediately contact their brokerage firm or financial institutions if they suspect their accounts have been compromised.

• FINRA Issues Alert on Public Nontraded REITs

  By Melanie Waddell, AdvisorOne  |  October 4, 2011

  FINRA issued on Tuesday an Investor Alert urging investors to understand the benefits, risks, features and fees of public nontraded REITs before investing in them.

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  FINRA Warns Investors to Beware of Gold Stock Scams

  By Joyce Hanson, AdvisorOne  |  August 24, 2011

  In an interview with AdvisorOne on Tuesday, S&P gold equity analyst Leo Larkin said the run-up in gold prices may be overplayed in a heated market. At the same time, FINRA warned against scams.

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  Fighting Financial Fraud: Stanford University, FINRA Debut Prevention Center

  By Melanie Waddell, AdvisorOne  |  August 17, 2011

  Stanford University’s Center on Longevity and the FINRA Investor Education Foundation recently launched the Research Center on the Prevention of Financial Fraud, an interdisciplinary resource for law enforcement, government and research groups studying financial frauds.

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  FINRA to Investors: Stay Away From Risky Junk Funds

  By Joyce Hanson, AdvisorOne  |  July 25, 2011

  FINRA issued an Investor Alert warning investors of the dangers of complex, risky products such as high-yield, or junk, bond funds; floating-rate loan funds; structured notes with principal protection; and leveraged products.