Posts belonging to Category Alternative Investments
Posted by Page PerryonJune 20, 2012
Heads up to Investors in the JPMorgan Alerian MLP Index ETN (Symbol: AMJ). JPMorgan has ceased issuing new shares of the master limited partnership exchange-traded note. The ETN posted a note on its web page explaining that it stopped issuing new share because the maximum number of shares allowed had been reached (“Red flag at […]
Categories: Alternative Investments, Brokerage Firms, Elder Abuses, Exchange Traded Notes (ETNs), Investigations, Investment Advisers, Investor Alerts, J. P. Morgan Chase, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools
Posted by Page PerryonJune 19, 2012
Exchange traded notes (ETNs), like other alternative investments, have many risks and problems including illiquidity, high fees, and lack of transparency. ETNs have all these risks and problems plus credit (default) risk, skewed or abnormal returns and extreme volatility.
Categories: Alternative Investments, Brokerage Firms, Common Securities Broker Abuses, Early Retirement Scams, Elder Abuses, Exchange Traded Notes (ETNs), Exchange-Traded Funds (ETFs), Fairness/Just & Equitable Conduct, Investigations, Investment Advisers, Investment Malpractice, Investor Alerts, Misrepresentation/Omission, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Unsuitable Recommendations
Posted by Page PerryonJune 14, 2012
Wall Street is adept at adjusting its marketing to the times and is never at a loss to pitch products, including those designed to play on investor fears. After all, that is what securities salespeople do. Many investments that Wall Street is currently calling “safe”, however, are actually both too risky and too costly, as […]
Categories: Alternative Funds, Alternative Investments, Brokerage Firms, Common Securities Broker Abuses, Early Retirement Scams, Elder Abuses, Exchange Traded Notes (ETNs), Exchange-Traded Funds (ETFs), Fairness/Just & Equitable Conduct, Hedge Funds, Investment Advisers, Investment Malpractice, Investor Alerts, Misrepresentation/Omission, Mutual Funds, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Stocks, 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 PerryonJune 7, 2012
Investors in search of higher yields are increasingly being steered into funds that buy floating rate bank loans. They are pitched as paying 5% with little if any interest rate risk. However, the Financial Industry Regulatory Authority (FINRA) warns that these loans come with significant risks, including potential credit, valuation and liquidity problems.
Categories: Alternative Investments, Bonds, Brokerage Firms, Common Securities Broker Abuses, Elder Abuses, High Yield (Junk) Bonds, Investigations, Investment Advisers, Investment Malpractice, Investor Alerts, Misrepresentation/Omission, Mutual Funds, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Unsuitable Recommendations
Posted by Page PerryonJune 7, 2012
OppenheimerFunds has agreed to pay more than $35 million to settle SEC charges the investment management company and its sales and distribution arm made misleading statements about two of its mutual funds in the midst of the credit crisis in late 2008. The settlement payments consist of a penalty of $24 million, disgorgement of $9,879,706, […]
Categories: Alternative Investments, Bonds, Brokerage Firms, Commercial Mortgage Backed Securities, Common Securities Broker Abuses, High Yield (Junk) Bonds, Investigations, Investment Advisers, Investment Malpractice, Investor Alerts, Misrepresentation/Omission, Mortgage Backed Securities, Mutual Funds, Regulatory Developments, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation
Posted by Page PerryonJune 6, 2012
Investors need to be cautious when considering floating-rate bond funds. Such funds are attractive to investors because of their relatively high-yields and of their inflation-protection based on the fact that they are floating rate. With inflation running at 2.3 percent, and 10-year U.S. Treasuries paying 0.6 percent less than that, floating rate funds paying an […]
Categories: Alternative Funds, Alternative Investments, Bonds, Brokerage Firms, Common Securities Broker Abuses, Elder Abuses, Investment Advisers, Investment Malpractice, Investor Alerts, Misrepresentation/Omission, Mutual Funds, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Unsuitable Recommendations
Posted by Page PerryonJune 4, 2012
Money is rapidly flowing out of high yield bond funds, which are composed of bonds rated below BBB by Standard & Poors and below Baa by Moody’s. With Europe looking shakier, investors have sought the safety of U.S. Treasuries. After a four-month buying surge beginning in January, more than $3 billion left high-yield bond funds […]
Categories: Alternative Investments, Brokerage Firms, Common Securities Broker Abuses, High Yield (Junk) Bonds, Investigations, Investment Advisers, Investment Malpractice, Investor Alerts, Market Developments, Misrepresentation/Omission, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Unsuitable Recommendations
Posted by Page PerryonMay 31, 2012
The percentage of mutual fund money invested in junk bonds (a/k/a high yield bonds) rose to its highest point in a decade as of February 29 of this year, and junk bonds have outperformed all major asset classes over the past three years. But junk bond funds are now under selling pressure. Investors have been […]
Categories: Alternative Investments, Brokerage Firms, Common Securities Broker Abuses, Elder Abuses, High Yield (Junk) Bonds, Investment Advisers, Investment Malpractice, Investor Alerts, Misrepresentation/Omission, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Unsuitable Recommendations
