Fraud Prevention Center

Links to Government and Industry Resources

Education and awareness are the best ways to stop investment fraud. To combat this growing problem, PENSCO has aggregated fraud-prevention information from leading government and industry sources.

The EDGAR Database Maintained by the Securities and Exchange Commission (SEC), this database provides access to numerous filings by companies and others who are required by law to file forms with (SEC).

The Federal Trade Commission (FTC) has a complete library of consumer education, including ways to reduce the threat of identity theft.

The Financial Industry Regulatory Authority (FINRA), the largest independent regulator for all securities firms doing business in the U.S., provides a free e-book on fraud, Fighting Fraud 101: Smart Tips For Investors.

FINRA's BrokerCheck® is a resource for researching individual brokers or brokerage firms. Also available at (800) 289-9999.

Investor.gov, an SEC website, provides a wide range of information, including recent fraud enforcement actions and seminars explaining how to detect fraud.

Investment Adviser Public Disclosure Database, another service from the SEC, is a resource for researching independent advisors or advisor firms.

The National Association of Insurance Commissioners (NAIC) enables you to research insurance agents.

North American Securities Administration Association (NASAA) offers extensive information and investor tips, including contacts to state regulatory agencies if suspicious activity or fraud is identified.

The Retirement Industry Trust Association (RITA) has created a fraud prevention checklist to help self-directed investors and offers information to help seniors spot fraudulent schemes.

SaveandInvest.org Produced in conjunction with FINRA, this site offers extensive information about fraud prevention, including a video that describes the typical profile of fraud victims.

Self Directed IRA Services provides additional resources on keeping your financial information secure

If you have question about fraud or how to prevent it, please contact PENSCO at (800) 969-4472, or email us at clients@pensco.com.