Posts belonging to Category Reverse Convertibles
Posted by Page PerryonOctober 7, 2011
Liquidity concerns are swirling around Morgan Stanley. Worries of defaults by European banks or governments are eroding the value of its assets and derivatives contracts. Hedge funds are so concerned that they have begun to withdraw cash from their prime brokerage accounts at Morgan Stanley. In the face of these developments, Morgan Stanley is telling […]
Categories: Brokerage Firms, Common Securities Broker Abuses, Credit Default Swaps, Derivatives, Hedge Funds, Investment Advisers, Investor Alerts, Morgan Stanley, Reverse Convertibles, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Structured Notes
Posted by Page PerryonOctober 5, 2011
Investors should use extreme caution before investing in alternative investments. Alternative investments have become the popular “investment du jour” but these investments are fraught with risks. Simply stated, alternative investments are not the panacea that so-called experts represent them to be. For the reasons discussed below, investors need to be very skeptical of any recommendation […]
Categories: Alternative Investments, Brokerage Firms, Closed End Funds, Common Securities Broker Abuses, Credit Default Swaps, Early Retirement Scams, Elder Abuses, Exchange-Traded Funds (ETFs), Hedge Funds, High Yield (Junk) Bonds, Investigations, Investment Advisers, Investor Alerts, Nontraded REITs, Peer to Peer Loans, Private Investments/Reg D, Promissory Notes, Regulatory Developments, Reverse Convertibles, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Structured Notes, Variable Annuities and Equity-Indexed Annuities
Posted by Page PerryonSeptember 28, 2011
A Bank of America employee will collect $930,000 from his former employer, Bank of America, for being fired in violation of the whistleblower protections. The employee blew the whistle on fraud at Countrywide Financial Corp. and led internal investigations that found “pervasive wire, mail and bank fraud involving Countrywide employees,” according to the U.S. Department […]
Categories: Asset Backed Securities, Bank of America, Brokerage Firms, CDOs, Derivatives, Employment Issues, Financial Industry Whistleblowers, Investigations, Investor Alerts, Mortgage Backed Securities, Mortgage Securities & Collateralized Debt Obligation Problems, Reverse Convertibles, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Structured Notes
Posted by Page PerryonSeptember 27, 2011
In recent years, hedge funds have become dominant players in the investment markets and the evidence suggests that hedge fund trading (which regularly involves thousands, if not hundreds of thousands, of shares) has been a significant contributing factor to market volatility.
Categories: Alternative Investments, Asset Backed Securities, Brokerage Firms, CDOs, Commodities and Futures, Common Securities Broker Abuses, Credit Default Swaps, Derivatives, Hedge Funds, Investigations, Investment Advisers, Investor Alerts, Market Developments, Mortgage Securities & Collateralized Debt Obligation Problems, Regulatory Developments, Reverse Convertibles, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Structured Notes
Posted by Page PerryonSeptember 27, 2011
The risks are increasing for investors in principal protected notes, reverse convertibles and other structured products associated with Bank of America, Citigroup and Wells Fargo. Moody’s recently announced that it has downgraded the debt of those financial institutions. One reason given: the U.S. government is unlikely to bail them out again. “It is more likely […]
Categories: Alternative Investments, Bank of America, Brokerage Firms, Citigroup/Smith Barney, Investigations, Investment Advisers, Reverse Convertibles, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Structured Notes, Wachovia, Wells Fargo
Posted by Page PerryonSeptember 16, 2011
Many investors, both individuals and corporations, were misled by their brokers and harmed during the credit crisis. For various reasons, however, many such investors have not yet taken action to recover their losses. Some have delayed taking action in order to see whether the misconduct warranted legal action while others just put it off until […]
Categories: Alternative Investments, Asset Backed Securities, Auction Rate Securities, Bank of America, Bank of New York Mellon, Brokerage Firms, CDOs, Citigroup/Smith Barney, Common Securities Broker Abuses, Derivatives, Deutsche Bank, Early Retirement Scams, Elder Abuses, Goldman Sachs, Hedge Funds, Investment Advisers, Investor Alerts, J. P. Morgan Chase, Merrill Lynch, Mortgage Backed Securities, Mortgage Securities & Collateralized Debt Obligation Problems, Reverse Convertibles, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Structured Notes, SunTrust, UBS
Posted by Page PerryonSeptember 9, 2011
Sales of structured notes issued by Bank of America have sunk to the lowest level since January 2008 as a result of investors’ concerns about the creditworthiness of the bank, according to Matt Robinson’s Bloomberg article entitled “Bank of America Structured Notes Sales Drop as Buyers ‘Shy Away.’” Similarly, credit default swaps on BofA have […]
Categories: Alternative Investments, Bank of America, Brokerage Firms, Common Securities Broker Abuses, Early Retirement Scams, Elder Abuses, Investigations, Investment Advisers, Investor Alerts, Merrill Lynch, Reverse Convertibles, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Structured Notes
Posted by Page PerryonSeptember 7, 2011
Many registered investment advisors and brokerage firms have increased their use of alternative investments for clients, many of whom are retired and lack the knowledge and sophistication to understand the complex investments, according to Liz Skinner’s InvestmentNews article entitled “Clients clamoring for alternative investments and advisers obliging.” But are alternative investments suitable for most investors? […]
Categories: Alternative Investments, Brokerage Firms, Common Securities Broker Abuses, Derivatives, Early Retirement Scams, Elder Abuses, Hedge Funds, Investigations, Investment Advisers, Investor Alerts, Nontraded REITs, Preferred Stocks, Reverse Convertibles, Securities, Structured Notes, Tenant-in-Common Interests, Variable Annuities and Equity-Indexed Annuities
Posted by Page PerryonSeptember 2, 2011
Wall Street is aggressively selling so-called structured notes as a “safe” way to earn increased returns without increased risk. The appeal of such a pitch is obvious in these times of low interest rates and stomach-churning stock market volatility. Structured notes are gaining in popularity. Retail sales of structured notes increased by 46% in 2010 […]
Categories: Alternative Investments, Brokerage Firms, Common Securities Broker Abuses, Derivatives, Early Retirement Scams, Elder Abuses, Investigations, Investment Advisers, Investor Alerts, Regulatory Developments, Reverse Convertibles, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Structured Notes
Posted by Page PerryonAugust 8, 2011
Just as a low tide near the seashore can reveal shipwrecks, a falling stock market often reveals misconduct by investment advisers. This is particularly true with respect to an investment adviser’s duty to recommend only investments to a customer that are suitable in light of the customer’s investment objectives, status in life and risk tolerance. […]
Categories: A General Overview, Asset Backed Securities, Bonds, Brokerage Firms, Common Securities Broker Abuses, Derivatives, Early Retirement Scams, Elder Abuses, Exchange-Traded Funds (ETFs), Investment Advisers, Investment Malpractice, Investor Alerts, Investor Rights, Mortgage Backed Securities, Municipal Bonds, Mutual Funds, 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
