Posts belonging to Category Exchange-Traded Funds (ETFs)
Posted by Page PerryonAugust 28, 2012
Investment advisers and their firms are facing increased scrutiny from state regulators following enactment of the Dodd-Frank financial reform act and the high profile press coverage of the Madoff ponzi scheme and other fraudulent activities. The number of regulatory enforcement actions against investment advisers increased by 100 percent in 2011. Regulators are on the lookout […]
Categories: Affinity Fraud, Common Securities Broker Abuses, Crowd Funding, Early Retirement Scams, Elder Abuses, Exchange Traded Notes (ETNs), Exchange-Traded Funds (ETFs), Fairness/Just & Equitable Conduct, Insurance Products, Investigations, Investment Advisers, Investment Malpractice, Investor Alerts, Misrepresentation/Omission, Oil & Gas, Ponzi Schemes, Private Investments/Reg D, Promissory Notes, Regulatory Developments, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Unsuitable Recommendations
Posted by Page PerryonJuly 27, 2012
Exchange-traded notes are complex products sold by “the best salesmen in the world” who are often betting that their potential customers do not know just how complex they are. In most cases, investors would be better off not buying exchange-traded notes, according to USA Today’s John Waggoner (“Non-experts may want to avoid ETNs”).
Categories: Alternative Investments, Brokerage Firms, Common Securities Broker Abuses, Derivatives, Early Retirement Scams, Elder Abuses, Exchange Traded Notes (ETNs), Exchange-Traded Funds (ETFs), Investigations, Investment Advisers, Investment Malpractice, Investor Alerts, Regulatory Developments, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Structured Notes
Posted by Page PerryonJuly 12, 2012
The Financial Industry Regulatory Authority (FINRA), the self-regulatory arm of the U.S. securities brokerage industry, has issued an Investor Alert regarding the features and risks of exchange-traded notes (“U.S. brokerage regulator warns of ‘unpleasant surprises’ on ETNs,” by Stuart Gittleman, Reuters).
Categories: Alternative Investments, Brokerage Firms, Common Securities Broker Abuses, Derivatives, Elder Abuses, Exchange-Traded Funds (ETFs), Fairness/Just & Equitable Conduct, Investigations, Investment Advisers, Investment Malpractice, Investor Alerts, Misrepresentation/Omission, Regulatory Developments, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Structured Notes, Unsuitable Recommendations
Posted by Page PerryonJune 29, 2012
Exchange traded fund assets remain concentrated in a small minority of the 1,400 ETFs on the market today for very good reasons. In fact, twenty-five ETFs based on broad indices are responsible for two-thirds of the trading volume.
Categories: Brokerage Firms, Common Securities Broker 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 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 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
