FINRA Foundation Participates in Department of Justice-SEC Fraud Summits

WASHINGTON--(BUSINESS WIRE)-- The FINRA Investor Education Foundation will participate in a series of Investor Fraud Summits sponsored by the United States Department of Justice and the United States Securities and Exchange Commission (SEC) at several venues across the country. These events will feature U.S. Attorneys, as well as senior officials from the Department of Justice, SEC, Commodity Futures Trading Commission and the Federal Bureau of Investigation. Open to community members, law enforcement, victim advocates and others, these summits will highlight what federal and state regulators and law enforcement are doing to protect investors and highlight the “red flags” of investment fraud.

The FINRA Foundation will be participating in three of these events this month:

  • Northeast Region Investor Fraud Summit on October 1 at University of Connecticut – Stamford Campus
  • Rocky Mountain Region Investor Fraud Summit on October 10 at University of Colorado, Denver Campus
  • Southeastern Regional Investor Fraud Summit on October 12 at Miami Dade College

“We are proud to participate with the Department of Justice and the SEC in this coordinated campaign to teach Americans the tricks of the trade of outsmarting investment fraud,” said Gerri Walsh, President of the FINRA Education Foundation. “By highlighting how law enforcement and regulators can help protect Americans from fraud and teaching citizens the steps they can take to avoid becoming victims, our goal is to help investors keep their nest eggs safe from scams.”

The FINRA Foundation’s Investor Protection Campaign is a research-based effort to protect investors by helping them recognize that anyone with savings could be targeted by cons. It also identifies the common persuasion techniques fraudsters use and encourages all investors to ask questions and check information with regulators. is a one-stop location for investors to check out the background of investment professionals, understand the psychological persuasion tactics con artists have used in investment scams, and order free DVDs of the FINRA Foundation's documentary, Tricks of the Trade: Outsmarting Investment Fraud, which has been broadcast on PBS stations across the country.

The FINRA Investor Education Foundation is the largest foundation in the United States dedicated to investor education. Its mission is to provide investors with high-quality, easily accessible information and tools to better understand the markets and the basic principles of saving and investing.

George Smaragdis, 202-728-8988

Source: Financial Industry Regulatory Authority (FINRA)