Posts belonging to Category Stocks
Posted by J. Boyd PageonFebruary 5, 2013
Experts are seeing signs of bubbles in stocks, bonds and farmland. This froth is basically the result of the Federal Reserve’s policy of credit easing – implemented primarily by its purchase of Treasuries and mortgage securities, which lowers interest rates and drives investors into riskier assets. The Fed’s primary reason for doing this is to […]
Categories: Bonds, Brokerage Firms, Economy, Investment Advisers, Investment Malpractice, Investor Alerts, Market Developments, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Stocks
Posted by Page PerryonOctober 30, 2012
Variable prepaid forward transactions result in a huge judgment against JPMorgan. An Oklahoma state court judge recently found that JPMorgan Chase breached its fiduciary duty as a co-trustee of a trust and ordered it to pay more than $18 million, including punitive damages for “reckless disregard for the rights of others.” In a 32-page opinion, […]
Categories: Brokerage Firms, Common Securities Broker Abuses, Fairness/Just & Equitable Conduct, Investment Advisers, Investment Malpractice, Investor Alerts, J. P. Morgan Chase, Misrepresentation/Omission, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Stocks, Unsuitable Recommendations
Posted by Page PerryonSeptember 17, 2012
The SEC has halted trading in the shares of a number of companies for various violations, including “lack of current and accurate information,” according to the Wall Street Journal (“SEC Suspends Trading in 16 More Firms,” by Tess Stynes). The suspensions are said to be temporary.
Categories: Brokerage Firms, Investment Advisers, Market Developments, Regulatory Developments, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Stocks
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 1, 2012
More bad news for J.P. Morgan Chase ? regulators in Japan have found that a Japanese employee of JP Morgan was involved in insider trading in connection with a share offering by Nippon Sheet Glass Co. The employee, who was not identified, reportedly leaked inside information to people at Asuka Asset Management. This latest revelation […]
Categories: A General Overview, Brokerage Firms, Common Securities Broker Abuses, Fairness/Just & Equitable Conduct, Investment Advisers, Investment Malpractice, Investor Alerts, J. P. Morgan Chase, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Stocks
Posted by Page PerryonMay 30, 2012
The house always wins. That saying was originally meant to warn people away from the Vegas Strip on Las Vegas Boulevard. But sometimes it applies even more strongly to Wall Street. Recently, investors who wanted to get in on the next Google lost a ton of money on the Facebook IPO, while Wall Street did […]
Categories: Brokerage Firms, Common Securities Broker Abuses, Fairness/Just & Equitable Conduct, Goldman Sachs, Investigations, Investment Advisers, Investment Malpractice, Investor Alerts, J. P. Morgan Chase, Misrepresentation/Omission, Morgan Stanley, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Stocks
Posted by Page PerryonMay 25, 2012
Facebook made national headlines last Friday when the social networking giant sold shares to the general public in its IPO. The company is now making even more headlines as investors have filed lawsuits against it and all of its underwriters alleging that they released material information to only “preferred investors” (See “Facebook, banks sued over […]
Categories: Brokerage Firms, Common Securities Broker Abuses, Fairness/Just & Equitable Conduct, Investigations, Investment Advisers, Investment Malpractice, Investor Alerts, Investor Rights, Misrepresentation/Omission, Morgan Stanley, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Stocks
Posted by Page PerryonMay 24, 2012
In addition to substantial IPO fees, the Facebook underwriters headed by Morgan Stanley made “a profit of about $100 million” through an options bet which benefits the banks when the IPO price is too high and the stock value plummets. (See “Morgan Stanley, Others Make Profit of $100 Million Stabilizing Facebook,” Gina Chon, Aaron Luchetti […]
Categories: Brokerage Firms, Common Securities Broker Abuses, Fairness/Just & Equitable Conduct, Investigations, Investment Advisers, Investment Malpractice, Investor Alerts, Misrepresentation/Omission, Morgan Stanley, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Stocks
Posted by Page PerryonApril 24, 2012
A recent study has concluded that investments that have higher volatility generate lower returns for investors. For many years, it has been a basic precept of modern portfolio theory that the price of opting for lower risk is lower reward. That is bunk, according to Robert Haugen, a former professor of finance at the University […]
Categories: Brokerage Firms, Economy, Investment Advisers, Market Developments, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Stocks
Posted by Page PerryonApril 12, 2012
The North American Securities Administrators Association (NASAA), an organization comprised of the 50 state securities regulators, believes that the crowd funding provisions of the so-called JOBS Act are just another “Regulation D-like rip-off,” according to InvestmentNews (“Crowd funding draws scorn from NASAA,” by Mark Schoff Jr.). Regulation D provides a registration exemption for certain investments […]
Categories: Affinity Fraud, Alternative Investments, Brokerage Firms, Crowd Funding, Early Retirement Scams, Elder Abuses, Investigations, Investment Advisers, Investor Alerts, Promissory Notes, Regulatory Developments, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Stocks