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Investor Education Brochures


Hard copies of the following consumer brochures are available by contacting our office:

  • A Consumer Guide to Selecting a Financial Professional (brochure produced by OOS) (PDF)
  • Gold: What Every Investor Should Know (brochure produced by OOS) (PDF)
  • Resources for Maine Investors Approaching or In Retirement (brochure by OOS with fraud prevention tips and a list of senior resources) (PDF)
  • The ABC's for APS Professionals (brochure produced by OOS with assistance of the North American Securities Administrators Association (NASAA) and the National Adult Protective Services Association (NAPSA) with tips on spotting and reporting financial exploitation and abuse involving investments) (PDF)
  • Fighting Fraud 101: Smart Tips for Older Investors (brochure produced by the project of the FINRA Investor Education Foundation) (PDF)

Many other brochures and resources are available by exploring the links below:


Investing Online Resources

This Basic Guide covers everything you'll need to know from how to balance risk and return to the most common investment scams.

Senior Safe Resources

Senior Safe Client Brochure

Educational Presentations

Elder Investment Fraud and Financial Exploitation Prevention Program
Presentation: April 18, 2012 at the University of New England/Portland Campus. View a video of the presentation.

Checklist for Lawyers: Elder Investment Fraud and Financial Exploitation Tool


Investor Alerts and Tools from FINRA

Investor Education Brochures by The Editors of Kiplinger's Personal Finance

When Your Broker Calls, Take Notes

Make copies of When Your Broker Calls, Take Notes to have handy and use it to make notes of conversations with your salesperson or adviser. Be sure to record details of the recommendations you receive and the instructions you give. Keep the notes in your files.

The Smart Investor's Check List



Last Updated: August 7, 2020