Dear Friend:

The U.S. Securities And Exchange Commission (SEC) has issued an Investor Alert regarding fraudsters who are impersonating SEC employees and contacting investors to purchase stock, confirm trades, send money, or reveal sensitive information.  This alert informs investors that the SEC does not contact investors to confirm trades, set up accounts, or record trade details, and reminds investors not to send money or provide any account information to someone over the phone.  The alert includes recordings of actual fraudulent calls and provides a phone number and email address you can use if you suspect you have been contacted by an SEC impersonator, as well as a Complaint Form.

The alert makes clear that the SEC does not contact investors to confirm trades, set up trading accounts, or record the details of trades.  The alert also notes that federal government agencies, including the SEC, do not endorse or sponsor any particular securities, issuers, products, services, professional credentials, firms, or individuals.

IF you are unsure whether correspondence claiming to be from the SEC is authentic you can call the SEC’s Office of Investor Education and Advocacy (OIEA) at 1-800-732-0330 or email [email protected] . OIEA responds to investors’ questions and complaints, engages in educational outreach, and provides free investment tools and resources on

IF you believe you have been contacted by someone pretending to be from the SEC, submit a Complaint Form to the SEC’s Office of Inspector General (OIG) or call the OIG’s toll-free hotline at (877) 442-0854.

Stay disciplined and vigilant with your information.

All the best,

Paul Zarling
Managing Partner
Client First Tax & Wealth Advisors

P.S. We also have a link on this topic on our Facebook page and Twitter Account. We update these accounts daily. Feel free to follow us on Facebookor Twitter to get the latest.