Posts belonging to Category Exchange Traded Notes (ETNs)
Posted by Alan PerryonApril 23, 2013
If your broker or financial adviser told you he was moving to another brokerage firm and asked you to move your account there, would you want to know if he was being paid thousands or millions of dollars to make the move? The Financial Industry Regulatory Authority (FINRA) thinks so, and is proposing a new […]
Categories: Alternative Investments, Brokerage Firms, Common Securities Broker Abuses, Early Retirement Scams, Elder Abuses, Exchange Traded Notes (ETNs), Exchange Traded Products (ETPs), Fairness/Just & Equitable Conduct, Hedge Funds, High Yield (Junk) Bonds, Investigations, Investment Advisers, Investment Malpractice, Investor Alerts, Limited Partnerships, Misrepresentation/Omission, Mortgage Securities & Collateralized Debt Obligation Problems, Non-Traded Business Development Companies, Nontraded REITs, Oil & Gas, Options, Private Equity Investments, Private Investments/Reg D, Promissory Notes, Reverse Convertibles, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Structured Notes, Tenant-in-Common Interests, Unsuitable Recommendations
Posted by Alan PerryonMarch 29, 2013
Rising interest rates may be death to traditional bonds and bond funds, but a number of alternative investment strategies allegedly designed to protect principal in a rising interest rate environment are springing up to take their place. It remains to be seen whether they will provide ballast when bond prices fall. For decades, bond investors […]
Categories: A General Overview, Alternative Funds, Alternative Investments, Brokerage Firms, Closed End Funds, Common Securities Broker Abuses, Credit Default Swaps, 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, Investigations, Investment Advisers, Investment Malpractice, Investor Alerts, Limited Partnerships, Misrepresentation/Omission, Mutual Funds, Penny Stocks, Private Equity Investments, Private Investments/Reg D, Promissory Notes, Reverse Convertibles, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Structured Notes, Unsuitable Recommendations, Variable Annuities and Equity-Indexed Annuities
Posted by Alan PerryonMarch 25, 2013
The Financial Industry Regulatory Authority (FINRA), as well as the SEC and state regulators, have announced that they are concerned about broker/adviser sales practices involving alternative investments including variable annuities and equity-indexed annuities. They have the distribution of these complex products on their radar screens. On January 11, 2013, FINRA sent a letter to its […]
Categories: A General Overview, Alternative Investments, Brokerage Firms, Common Securities Broker Abuses, 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, Investment Advisers, Investment Malpractice, Investor Alerts, Misrepresentation/Omission, Nontraded REITs, Oil & Gas, Private Equity Investments, Private Investments/Reg D, Promissory Notes, Regulatory Developments, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Structured Notes, Unsuitable Recommendations, Variable Annuities and Equity-Indexed Annuities
Posted by Alan PerryonMarch 18, 2013
Danger lies ahead for investors in structured products. Structured products were once used only by institutions and sophisticated investors that had the education, training and experience needed to fully understand these complex and opaque alternative investments. Over the past several years, however, structured products have been sold to individual investors, who do not understand the […]
Categories: A General Overview, Alternative Investments, Brokerage Firms, Closed End Funds, Common Securities Broker Abuses, Derivatives, Early Retirement Scams, Elder Abuses, Exchange Traded Notes (ETNs), Exchange Traded Products (ETPs), Fairness/Just & Equitable Conduct, Hedge Funds, High Yield (Junk) Bonds, Insurance Products, Investment Advisers, Investment Malpractice, Investor Alerts, Lehman Brothers, Limited Partnerships, Misrepresentation/Omission, Nontraded REITs, Oil & Gas, Private Equity Investments, Private Investments/Reg D, Promissory Notes, Reverse Convertibles, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Structured Notes, Unsuitable Recommendations, Variable Annuities and Equity-Indexed Annuities
Posted by Alan PerryonMarch 6, 2013
Why do investors continue to be enamored with hedge funds and other alternative investments? The press recently reported that institutional investors are expected to increase allocations to hedge funs by 300% this year, and hedge fund assets are expected to increase by 11% to $2.5 trillion, according to the 11th annual survey of institutional investors […]
Categories: Alternative Investments, Brokerage Firms, 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, Investment Advisers, Investment Malpractice, Investor Alerts, Limited Partnerships, Market Developments, Misrepresentation/Omission, Nontraded REITs, Oil & Gas, Preferred Stocks, Private Equity Investments, Private Investments/Reg D, Reverse Convertibles, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Structured Notes, Unsuitable Recommendations, Variable Annuities and Equity-Indexed Annuities
Posted by Alan PerryonMarch 4, 2013
Recent warnings regarding dangers in the bond market were recently issued by bond maestro Bill Gross. These warnings are reminiscent of Alan Greenspan’s implicit warning in a 1996 speech when he asked: “How do we know when irrational exuberance has unduly escalated asset values, which then become subject to unexpected and prolonged contractions?” Specifically, Mr. […]
Categories: Alternative Investments, Bonds, Brokerage Firms, Church Bonds, Common Securities Broker Abuses, Early Retirement Scams, Elder Abuses, Exchange Traded Notes (ETNs), Exchange Traded Products (ETPs), Exchange-Traded Funds (ETFs), Fairness/Just & Equitable Conduct, High Yield (Junk) Bonds, Investment Advisers, Investment Malpractice, Investor Alerts, Life Policies/Viatical Settlements, Limited Partnerships, Misrepresentation/Omission, Nontraded REITs, Oil & Gas, Private Investments/Reg D, Promissory Notes, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Structured Notes, Unsuitable Recommendations
Posted by Alan PerryonFebruary 26, 2013
The financial world continues to beat the drum warning investors about the risk of bonds. When interest rates rise (or when the market believes a significant rise in interest rates is imminent) bond prices will fall, and investors in bond funds and individual bonds will suffer declines in value and/or losses. Retirees and others, who […]
Categories: Alternative Investments, Bonds, Brokerage Firms, 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, Investigations, Investment Advisers, Investment Malpractice, Investor Alerts, Limited Partnerships, Misrepresentation/Omission, Mutual Funds, Nontraded REITs, Oil & Gas, Private Equity Investments, Private Investments/Reg D, Promissory Notes, Reverse Convertibles, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Structured Notes, Tenant-in-Common Interests, Unsuitable Recommendations, Variable Annuities and Equity-Indexed Annuities
Posted by Alan PerryonFebruary 20, 2013
Investors in search of fixed income have poured money into a variety of alternative investments, including nontraded real estate investment trusts (REITs). Alternative investments encompass most investments other than traditional stocks and bonds and mutual funds that hold stocks and/or bonds. There are three basic clusters of problems that investors who are considering these products […]
Categories: Alternative Investments, Brokerage Firms, CDOs, Closed End Funds, Common Securities Broker Abuses, Crowd Funding, Derivatives, Elder Abuses, Exchange Traded Notes (ETNs), Exchange Traded Products (ETPs), 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, Limited Partnerships, Misrepresentation/Omission, Nontraded REITs, Oil & Gas, Private Equity Investments, Private Investments/Reg D, Promissory Notes, Reverse Convertibles, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Structured Notes, Supervisory Failures, Unsuitable Recommendations, Variable Annuities and Equity-Indexed Annuities
Posted by Alan PerryonFebruary 18, 2013
LPL Financial, the country’s largest independent broker-dealer, is encountering serious problems involving its sales of alternative investments. LPL is also (not coincidentally) one of the country’s largest sellers of alternative investment products. In 2011, LPL sold $758,435,677 of variable annuities (which are considered by most industry observers as being alternative investments) and $110,643,148 of other […]
Categories: Alternative Funds, Alternative Investments, Brokerage Firms, Closed End Funds, Common Securities Broker Abuses, Crowd Funding, Derivatives, Disciplinary Actions, Elder Abuses, Exchange Traded Notes (ETNs), Exchange Traded Products (ETPs), 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, Limited Partnerships, LPL Financial, 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, Supervisory Failures, Tenant-in-Common Interests, Unsuitable Recommendations, Variable Annuities and Equity-Indexed Annuities
Posted by Alan PerryonFebruary 13, 2013
Investment scams targeting senior citizens continue to proliferate in Georgia and across the country. In fact, the Atlanta Journal Constitution recently published an article dealing with financial fraud perpetrated against seniors. The article (“Financial fraud scams target Georgia seniors”) focused on an 81 year-old lady who was the victim of a ponzi scheme. A ponzi […]
Categories: Affinity Fraud, Alternative Investments, Brokerage Firms, Common Securities Broker Abuses, Early Retirement Scams, Economy, Elder Abuses, Exchange Traded Notes (ETNs), Exchange Traded Products (ETPs), 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, Nontraded REITs, Private Investments/Reg D, Reverse Convertibles, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Structured Notes, Unsuitable Recommendations, Variable Annuities and Equity-Indexed Annuities
