“The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about potentially fraudulent investment schemes that involve individuals or firms misrepresenting that they are registered with the SEC. Investors should be careful to check the background, including license and registration status, of any person who tries to sell them an investment product or service, and should avoid investing with anyone who falsely represents that they are registered with the SEC.” This alert is helpful to whistleblowers because it raises awarneness with potential whistleblowers that even seemingly “minor” misrepresentations can mislead investors and violate securities laws.
