Investors Should Be Aware Of Communications, Including Phone Calls, Voicemails, Emails, And Letters That May Falsely Appear To Be From The SEC

The SEC recently advised that it is aware that several individuals recently received phone calls or voicemail messages that appeared to be from an SEC phone number.  The calls and messages raised purported concerns about unauthorized transactions or other suspicious activity in the recipients’ checking or cryptocurrency accounts.  According to the SEC, these phone calls and voicemail messages are in no way connected to the SEC.  If you receive a communication that appears to be from the SEC, do not provide any personal information unless you have verified that you are dealing with the SEC.  The SEC does not seek money from any person or entity as a penalty or disgorgement for alleged wrongdoing outside of its formal Enforcement process.

SEC staff do not make unsolicited communications – including phone calls, voicemail messages, or emails – asking for payments related to enforcement actions, offering to confirm trades, or seeking detailed personal and financial information.  Investors, you should be skeptical if you are contacted by someone claiming to be from the SEC and asking about your shareholdings, account numbers, PIN numbers, passwords, or other information that may be used to access your financial accounts.  Again, the SEC cautions to never provide information to someone claiming to be from the SEC, until you have verified that the person actually works for the SEC.

How Can You Confirm That You Are Dealing With The SEC?

If you receive an unsolicited communication from someone claiming to be from the SEC, use the SEC’s personnel locator at (202) 551-6000 to reach the staff member directly and ask the person if the communication was from them.  You can also call (800) SEC-0330 or e-mail [email protected] to check if a communication is from the SEC.

If you receive a communication that falsely appears to be from the SEC, submit a complaint at to the SEC’s Office of Inspector General (“OIG”) or call the OIG’s toll-free hotline at (833) SEC-OIG1 (732-6441).

Additional Information For Investors

Investor Alert: When Engaging With the SEC on Social Media, Use Our Verified Accounts and Be Alert for Impersonators (Sept. 2018)

Investor Alert: SEC Impersonators Pretend to Help Investors Buy Stock (Apr. 2018)

Investor Alert: Beware of Government Impersonators Targeting Fraud Victims (June 2016)

Updated Investor Alert: SEC Warns of Government Impersonators Demanding Money (Aug. 2015)


Kehoe Law Firm, P.C.