Preventing Investment Fraud
Aug 05, 2021 12:00 PM
Leslie Van Buskirk
Preventing Investment Fraud

Leslie M. Van Buskirk is an Administrator in the Division of Securities for the Wisconsin Department of Financial Institutions. She will share examples of investment fraud that are happening today and ways we can protect ourselves from falling victim to these kinds of fraudulent activity. 


Before You Invest: Check Out the Salesperson
FINRA BrokerCheck
Investment Adviser Public Disclosure
Call the Division of Securities at (608) 266-2139 or visit:
Office of the Commissioner of Insurance

Resources: State of Wisconsin Agencies
Wisconsin Department of Financial Institutions
Examiner of the Day Hotline: (608) 266-2139
Wisconsin Office of the Commissioner of Insurance
Wisconsin Department of Agriculture, Trade and Consumer Protection
Office of Privacy Protection Phone: (608) 224-5163

Resources: North American Securities Administrators Association (NASAA)
The Division of Securities is a member of NASAA, an organization composed of securities  regulators from the US, Canada and Mexico, dedicated to protecting investors for over 100 years. NASAA has excellent investor education information on its website.

Top Investor Threats
Warning Signs of Fraud
NASAA Videos
Please check out these links, especially the “In the Know” videos and “Real Life Regulators” for some good information on current topics and investigations

Resources: The Securities and Exchange Commission (SEC)
SEC Investor Education

Resources: Organizations and Non-Profits
FINRA Investor Education
FINRA Securities Helpline for Seniors: 844-57-HELPS or 844-574-3577
Investor Protection Trust
Better Business Bureau