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Thursday, November 13, 2014

DFI Releases Annual Top Threats Facing Investors List

The Washington State Department of Financial Institutions (DFI) and the North American Securities Administrators Association (NASAA) released their annual list of scams likely to trap investors.

Regulators are seeing classic threats to investors morph into new or altered dangers, many fueled by the Internet. Overarching all of these threats are unlicensed agents selling unregistered products to unsuspecting investors.

View the Investment Threats List