Use these discussion questions with the FINRA Investor Education Foundation’s “Trick$ of the Trade: Outsmarting Investment Fraud” documentary. You can watch the film at home or show it at a community event of your membership organization’s monthly meeting. These questions can serve as a guide in facilitating a group discussion, no matter how large or small your event.
- What do you find the most surprising about the victim demographic trends?
- Have you or someone you know been a victim of investment fraud?
- Are any of these persuasion tactics familiar?
- Give some examples of how these tactics show up in your everyday life.
- Raise your hand if you have ever received an invitation to a free lunch or dinner investment seminar.
- How many of you are signed up for the Do Not Call list?
- Do you have a refusal script? Will you share it with the group?
- Have you ever checked the registration status or disciplinary history of an investment professional with FINRA or your state securities regulator before doing business with them?
- Have you ever checked the registration status of an investment product with the Securities and Exchange Commission or your state securities regulator before purchasing the investment?
- What questions would you ask of a salesperson who was pitching you an unsolicited investment?
- Do you know someone else who could benefit from this information?
