FINRA Foundation Releases Findings on Fraud Awareness Among Investors

Half of Investors Do Not Recognize Warning Signs of Fraud; Findings Released in Light of World Investor Week

WASHINGTON—In light of World Investor Week (Oct. 6-12), the FINRA Investor Education Foundation (FINRA Foundation) released today first-look findings from its forthcoming report, “Investors in the United States: A Report of the National Financial Capability Study,” which will be published in December. The report provides an in-depth exploration of the attitudes, behaviors, knowledge and experiences of retail investors in the United States.

Encore | Investing Wisely in 2025: Avoiding Scams and Achieving Your Financial Goals

As we kick off World Investor Week, we thought it was the perfect time to revisit some invaluable tips for investors looking to start the year off right with their financial goals. On this episode, which originally aired in January, FINRA’s Head of Investor Education Gerri Walsh shares insights on leveraging market trends and tools to achieve your money goals in 2025.

2024081080701 Antaun Cyril Lewis Barnett CRD 4854743 AWC ks (2025-1762129204462).pdf

Between November 2022 and August 2023, Barnett submitted to NYLife Distributors expense reports totaling $4,463.49 for 15 meal, lodging, and transportation expenses that he charged to firm accounts. Barnett characterized the expenses as business expenses, when, in fact, they were personal expenses that did not comply with the firm’s travel and business expense policy. Therefore, Barnett improperly used firm funds in violation of FINRA Rule 2010 and is suspended for six months and fined $5,000.
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