Avoiding Investment Fraud General Information

​The best way to avoid investment fraud is to thoroughly assess the investment product and salesperson before you hand over any of your money. Once you have sent money to a fraudster or scam artist, it is nearly impossible to get all—if any—of your money back. Use the Resource links to the right to find more information about recognizing the warning signs of investment fraud, how to verify an adviser or investment, and quizzes that can help you determine both your investment knowledge and your risk level for fraud.

Additional Resources:

Use this database to verify the registration status of investment professionals and firms.

The Financial Industry Regulatory Authority (FINRA) has a wealth of tools and tips for investors.

​Established in 2003 by FINRA, the FINRA Investor Education Foundation empowers underserved Americans with the knowledge, skills, and tools to make sound financial decisions throughout life.

The U.S. Securities and Exchange Commission (SEC) has tools for investing and evaluating investments to help protect yourself against fraud.

The North American Securities Administrators Association (NASAA) has a variety of education resources for investors.

Real Life Regulators brings true crime stories straight from the investigative files of the securities regulators closest to investors. By taking listeners through the investigative process, the podcast provides an insider's view of how to identify an investment scam, which is one key to investor protection.

Contact Us

Phone: (608) 266-2139

Email: DFISecurities@dfi.wisconsin.gov​