Posts belonging to Category Exchange-Traded Funds (ETFs)
Posted by Page PerryonJanuary 7, 2013
A recent change in policy by the SEC could have a significant impact on the risk profile of some ETFs. In response to pressure from the industry, the SEC has lifted its moratorium on the use of derivatives by certain exchange traded funds. This move is expected to result in an increase in the number […]
Categories: Alternative Investments, Brokerage Firms, Exchange Traded Products (ETPs), Exchange-Traded Funds (ETFs), Investment Advisers, Investor Alerts, Regulatory Developments, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools
Posted by Page PerryonDecember 27, 2012
Hedge funds have long been a quagmire for investors according to informed observers. Nevertheless, they somehow attract money with the lure of spectacular returns despite actual poor performance. Hedge funds traverse high-risk and often exotic territories and cannot be readily liquidated. More often than not, they are doomed from the outset by very high management […]
Categories: Alternative Investments, Brokerage Firms, Citigroup Hedge Funds, Common Securities Broker Abuses, Elder Abuses, Exchange Traded Products (ETPs), Exchange-Traded Funds (ETFs), Fairness/Just & Equitable Conduct, Hedge Funds, Investigations, Investment Advisers, Investment Malpractice, Investor Alerts, Limited Partnerships, Misrepresentation/Omission, Nontraded REITs, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Unsuitable Recommendations
Posted by Page PerryonDecember 19, 2012
Investors are being sold more and more alternative investments and large broker-dealers are ramping up to supply that demand, according to the Wall Street Journal (“Alternatives Get a Boost”). The trouble is that most investors do not fully understand these products and their brokerage firm advisers do not fairly explain the risks and problems associated […]
Categories: Alternative Investments, Ameriprise, Asset Backed Securities, Bank of America, Brokerage Firms, Church Bonds, Closed End Funds, Common Securities Broker Abuses, Crowd Funding, Derivatives, 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, LPL Financial, Merrill Lynch, Misrepresentation/Omission, Mortgage Backed Securities, Mortgage Securities & Collateralized Debt Obligation Problems, Non-Traded Business Development Companies, Nontraded REITs, Oil & Gas, Private Equity Investments, Private Investments/Reg D, 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 Page PerryonDecember 3, 2012
Exchange traded funds’ names can be misleading. Many have names that suggest that they make certain types of investments when, in fact, they contain only a nominal amount of such investments. Examples provided by the Wall Street Journal include a an ETF called “Middle East & Africa” that invests only 5% of its funds in […]
Categories: Alternative Investments, Brokerage Firms, Common Securities Broker Abuses, Exchange Traded Products (ETPs), Exchange-Traded Funds (ETFs), Fairness/Just & Equitable Conduct, Investment Advisers, Investment Malpractice, Investor Alerts, Misrepresentation/Omission, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation
Posted by Page PerryonOctober 22, 2012
There are about 1,500 exchange traded funds on the market today. The recent boom (and bust) of new exchange traded products is mostly in the smaller, exotic and niche end of the spectrum. The problems associated with such products include lack of performance history, illiquidity, volatility, over concentration, and sometimes (for the funds themselves) death.
Categories: Alternative Investments, Brokerage Firms, Exchange-Traded Funds (ETFs), Investigations, Investment Advisers, Investor Alerts, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools
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 PerryonOctober 12, 2012
Large numbers of exotic and niche exchange traded products (both funds and notes) have either folded or are on a “death watch.” One such fund, according to John Waggoner of USA Today, has not traded since January (“Some exchange traded funds in ER”).
Categories: Alternative Investments, Brokerage Firms, Derivatives, Exchange Traded Notes (ETNs), Exchange Traded Products (ETPs), Exchange-Traded Funds (ETFs), Investigations, Investment Advisers, Investor Alerts, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools
Posted by Page PerryonOctober 3, 2012
Too many investors speculate rather than invest according to John Bogle, the founder of the Vanguard Group and the creator of the Vanguard 500 Index Fund, which tracks the S&P 500 stock index. Investing means buying and holding; trading (frequent buying and selling) is speculation. Speculation is what happens when sales people act as financial […]
Categories: Brokerage Firms, Churning, Common Securities Broker Abuses, Early Retirement Scams, Elder Abuses, Exchange Traded Notes (ETNs), Exchange-Traded Funds (ETFs), Fairness/Just & Equitable Conduct, Investment Advisers, Investment Malpractice, Investor Alerts, Misrepresentation/Omission, Mutual Funds, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Unsuitable Recommendations
Posted by Page PerryonOctober 1, 2012
The Federal Reserve’s recent announcement of the new stimulus package has resulted in another stampede by investors into higher-risk high-yield (junk) bonds. Inflows into junk bond funds were the second highest ever and the highest for this year. Even lower grade borrowers are selling junk notes in the U.S. at an “unprecedented pace” (“Junk-Bond Fund […]
Categories: Alternative Investments, Bonds, Brokerage Firms, Exchange-Traded Funds (ETFs), High Yield (Junk) Bonds, Investment Advisers, Investment Malpractice, Investor Alerts, Misrepresentation/Omission, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Unsuitable Recommendations
Posted by Page PerryonSeptember 17, 2012
Tiny exchange traded funds present significant risks to investors. The problems associated with such funds may include overconcentration, high fees, illiquidity, lack of transparency, and wide trading spreads.
Categories: Alternative Investments, Brokerage Firms, Common Securities Broker Abuses, Exchange-Traded Funds (ETFs), Investment Advisers, Investment Malpractice, Investor Alerts, Misrepresentation/Omission, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Unsuitable Recommendations
