Posts belonging to Category Reverse Convertibles
Posted by Page PerryonNovember 29, 2012
Investors are urged to be cautious about purchasing structured notes. Brokers are on track to sell more than $10 billion of structured notes linked to the S&P 500 stock index this year. In fact, sales will reach the highest levels in at least three years, according to Bloomberg (“Structured Notes Tied to S&P 500 Set […]
Categories: Alternative Investments, Brokerage Firms, Common Securities Broker Abuses, Derivatives, Fairness/Just & Equitable Conduct, Investment Advisers, Investment Malpractice, Investor Alerts, Misrepresentation/Omission, Reverse Convertibles, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Structured Notes, Unsuitable Recommendations
Posted by Page PerryonOctober 18, 2012
The recent actions of errors and omissions insurance carriers should serve as a major red flag to investors. Many of these carriers are refusing to issue coverage for sales of certain alternative investments. In other words, these carriers have determined that the risk of loss associated with the sale of certain alternative investments is too […]
Categories: Alternative Funds, Alternative Investments, Brokerage Firms, CDOs, Closed End Funds, Common Securities Broker Abuses, Derivatives, Early Retirement Scams, Elder Abuses, Exchange Traded Notes (ETNs), Exchange Traded Products (ETPs), Exchange-Traded Funds (ETFs), Fairness/Just & Equitable Conduct, Hedge Funds, High Yield (Junk) Bonds, Insurance Products, Investment Advisers, Investment Malpractice, Investor Alerts, Limited Partnerships, Misrepresentation/Omission, Non-Traded Business Development Companies, Nontraded REITs, Oil & Gas, Private Equity Investments, Private Investments/Reg D, Promissory Notes, Reverse Convertibles, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Structured Notes, Supervisory Failures, Tenant-in-Common Interests, Unsuitable Recommendations, Variable Annuities and Equity-Indexed Annuities
Posted by Page PerryonJune 11, 2012
Slowing U.S. jobs growth, slowing growth in China, concerns about another global recession, and uncertainties relating to the Euro crisis, have turned commodities bulls into bears as hedge funds beat a hasty retreat from commodities for the third consecutive month, according to Businessweek (“Hedge Funds in Longest Rout Since Global Recession,” by Tony C. Dreibus).
Categories: Alternative Funds, Alternative Investments, Brokerage Firms, Commodities and Futures, Derivatives, Exchange Traded Notes (ETNs), Hedge Funds, Investigations, Investment Advisers, Investor Alerts, Limited Partnerships, Private Investments/Reg D, Reverse Convertibles, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Structured Notes
Posted by Page PerryonJune 9, 2012
Financial advisers need to know that dangers lurk in the complex world of alternative investments and they must disclose these dangers to their clients. At present, many investment advisers are under pressure to sell alternative investments and are doing so in greater numbers than ever before. Alternative investments can include virtually any investment that is […]
Categories: Alternative Funds, Alternative Investments, Brokerage Firms, Closed End Funds, Common Securities Broker Abuses, Credit Default Swaps, Derivatives, Elder Abuses, Exchange Traded Notes (ETNs), Exchange-Traded Funds (ETFs), Fairness/Just & Equitable Conduct, Hedge Funds, High Yield (Junk) Bonds, Investigations, Investment Advisers, Investment Malpractice, Investor Alerts, Life Policies/Viatical Settlements, Misrepresentation/Omission, Non-Traded Business Development Companies, Nontraded REITs, Oil & Gas, Options, Private Equity Investments, Private Investments/Reg D, Reverse Convertibles, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Structured Notes, Unsuitable Recommendations, Variable Annuities and Equity-Indexed Annuities
Posted by Page PerryonMay 24, 2012
Broker-dealers’ conflicts of interest and the proliferation of complex financial products being sold by financial advisers are the top areas of concern to the Financial Industry Regulatory Authority (FINRA), according InvestmentNews (“Ketchum: Finra’s focus on conflicts of interest compounding,” by Bruce Kelly).
Categories: Alternative Investments, Brokerage Firms, Common Securities Broker Abuses, Derivatives, Elder Abuses, Exchange Traded Notes (ETNs), Exchange-Traded Funds (ETFs), Fairness/Just & Equitable Conduct, Hedge Funds, Investigations, Investment Advisers, Investment Malpractice, Investor Alerts, Limited Partnerships, Misrepresentation/Omission, Nontraded REITs, Oil & Gas, Private Equity Investments, Private Investments/Reg D, Regulatory Developments, Reverse Convertibles, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Structured Notes, Tenant-in-Common Interests, Unsuitable Recommendations
Posted by Page PerryonMay 23, 2012
The Securities and Exchange Commission has identified broker-dealer due diligence as an area of high risk. Before recommending any investment, a brokerage firm is required by law to have a reasonable basis for believing the investment is suitable for customers to whom the investment is recommended, and for understanding all the material facts (the pros […]
Categories: Alternative Investments, Brokerage Firms, CDOs, Churning, Common Securities Broker Abuses, Derivatives, Exchange Traded Notes (ETNs), Exchange-Traded Funds (ETFs), Fairness/Just & Equitable Conduct, Hedge Funds, Investment Advisers, Investment Malpractice, Investor Alerts, Misrepresentation/Omission, Nontraded REITs, Private Investments/Reg D, Regulatory Developments, Reverse Convertibles, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Structured Notes, Unsuitable Recommendations
Posted by Page PerryonMay 18, 2012
The Financial Industry Regulatory Authority (FINRA) is showing stepped-up interest in the role of broker-dealers and individuals that act as wholesalers in the sale of private (Reg D) offerings that clients and often brokers do not fully understand. (See InvestmentNews article by Bruce Kelly entitled “Finra eyes wholesalers’ role in vending.”
Categories: Alternative Investments, Brokerage Firms, Common Securities Broker Abuses, Derivatives, Exchange Traded Notes (ETNs), Exchange-Traded Funds (ETFs), Fairness/Just & Equitable Conduct, Hedge Funds, High Yield (Junk) Bonds, Investigations, Investment Advisers, Investment Malpractice, Investor Alerts, Limited Partnerships, Misrepresentation/Omission, Mutual Funds, Nontraded REITs, Oil & Gas, Private Equity Investments, Private Investments/Reg D, Regulatory Developments, Reverse Convertibles, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Structured Notes, Tenant-in-Common Interests
Posted by Page PerryonMay 9, 2012
Wall Street is peddling snake oil ? new financial products that are the equivalent of bottles of medicine with labels like “Dr. Bartlett’s Beneficent Balm ? Boon to Mankind” ? and they should be regulated as such, according to University of Chicago professors Eric A. Posner and E. Glen Weyl. The FDA protects consumers from […]
Categories: Alternative Investments, Asset Backed Securities, Brokerage Firms, CDOs, Common Securities Broker Abuses, Credit Default Swaps, Derivatives, Exchange Traded Notes (ETNs), Exchange-Traded Funds (ETFs), Hedge Funds, Investment Advisers, Investor Alerts, Investor Rights, Regulatory Developments, Reverse Convertibles, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Structured Notes
Posted by Page PerryonApril 30, 2012
With interest rates stuck at record lows, and retirees or those on the brink of retirement looking are for higher yields, Wall Street has capitalized on this dilemma by selling an array of alternative products like “structured notes” that promise higher yields but come with higher (often undisclosed) risks, and by marketing dividend stocks as […]
Categories: Alternative Investments, Brokerage Firms, Derivatives, Investment Advisers, Investor Alerts, Misrepresentation/Omission, Private Investments/Reg D, Reverse Convertibles, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Structured Notes, Unsuitable Recommendations
Posted by Page PerryonFebruary 6, 2012
The Financial Industry Regulatory Authority has issued a Regulatory Notice (12-03, Jan. 2012) to “remind” its member firms of their sales practice obligations with regard to complex products, and to provide them “guidance” in exercising heightened scrutiny and supervision over marketing and sales of complex products. Complex products are not defined in the Notice, but […]
Categories: A General Overview, Alternative Investments, Brokerage Firms, Common Securities Broker Abuses, Derivatives, Early Retirement Scams, Elder Abuses, Exchange-Traded Funds (ETFs), Fairness/Just & Equitable Conduct, Hedge Funds, Investigations, Investment Advisers, Investment Malpractice, Investor Alerts, Limited Partnerships, Misrepresentation/Omission, Mortgage Backed Securities, Nontraded REITs, REITs, Reverse Convertibles, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Stockbroker Standards of Conduct, Structured Notes, Unsuitable Recommendations
