Becoming an educated investor not only offers the best means to achieve your financial goals, but also helps you avoid costly mistakes and falling victim to fraud. The most important step you can take to protect yourself from investment fraud is to avoid it in the first place. Before you invest, do your research!
The OFR can give you background information on investment professionals and products registered in Florida. If you feel you have been victimized, you can also File a Complaint with us.
To request a presentation on investor education for your group, visit our Request a Speaker page.
Learn to Spot the Warning Signs:
|Professional or Product||Research|
|Investment professional or product (Florida)||Florida Office of Financial Regulation|
|Investment professionals or products (Other states or Canadian provinces)||North American Securities Administrators Association (NASAA)|
|Investment adviser or product||U.S. Securities and Exchange Commission (SEC):
Investment Adviser Public Disclosure
EDGAR System (Company filings)
|Brokers||Financial Industry Regulatory Authority (FINRA)|
|Insurance agents (Florida)||Florida Department of Financial Services|
|Commodities and Futures||Commodity Futures Trading Commission (CFTC)
National Futures Association (NFA)