Posts belonging to Category Options

Are FINRA’s Threatened Enforcement Actions on Structured Products Fact or Window Dressing?


While financial advisers are selling the daylights out of high-yield structured products to investors who complain about low interest rates, the Financial Industry Regulatory Authority (FINRA) is warning them of the perils of such securities, according to Bruce Kelly’s InvestmentNews article entitled “Ketchum warns that FINRA is focusing on ‘hot’ investment.”

Investor Alert: Reverse Convertibles Can Be Extremely Toxic


One of the worst and most unsuitable investments we have ever come across is the reverse convertible. Like the Devil himself, they have so many names, and are not easy to recognize on brokerage statements. UBS calls them “Yield Optimization Securities.” They are also known as “revertibles,” “revertible notes,” “reverse exchangeable securities,” and so on. […]