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Enforcement Tips and Complaints

If you would like to provide us information about fraud or wrongdoing involving potential violations of the securities laws, which may include the conduct listed below, use the Tips, Complaints and Referrals Portal. See also further information about submitting a tip or complaint.

Ponzi scheme A Ponzi scheme is an investment fraud that involves the payment of purported returns to existing investors from funds contributed by new investors. Ponzi scheme organizers often solicit new investors by promising to invest funds in opportunities claimed to generate high returns with little or no risk. In many Ponzi schemes, the fraudsters focus on attracting new money to make promised payments to earlier-stage investors and to use for personal expenses, instead of engaging in any legitimate investment activity., Pyramid SchemeIn the classic "pyramid" scheme, participants attempt to make money solely by recruiting new participants into the program. The hallmark of these schemes is the promise of sky-high returns in a short period of time for doing nothing other than handing over your money and getting others to do the same., or a High-Yield Investment ProgramIf someone approaches you about investing in a so-called "prime bank" program, "prime World Bank" financial instrument, or similar sounding high-yield security, you should know that these investments do not exist. They are all scams. For more information about these bogus programs, visit the Division of Enforcement's Prime Bank Fraud Information Center.