Posts belonging to Category Stocks
Posted by Page PerryonMarch 5, 2012
The Securities and Exchange Commission and regulators in the United Kingdom have been investigating exchange traded funds for some time. Part of those investigations are now reportedly focusing on a situation called “settlement fails,” which occurs when trades are not completed on time. Although most exchange traded fund trades have seven days to clear or […]
Categories: Brokerage Firms, Exchange-Traded Funds (ETFs), Investment Advisers, Investor Alerts, Market Developments, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Stocks
Posted by Page PerryonJanuary 23, 2012
An increase in corporate borrowing costs and Eastman Kodak’s recent bankruptcy filing have set off a round of speculation about whether it is the start of a growing trend in corporate bankruptcy filings. While Chapter 11 bankruptcy filings have been falling since 2009, George Putnam of BankruptcyData.com is expecting an uptick in corporate bankruptcy filings. […]
Categories: Bonds, Brokerage Firms, Economy, Investment Advisers, Investor Alerts, Market Developments, Preferred Stocks, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Stocks
Posted by Page PerryonJanuary 20, 2012
The dynamics of equity investing are changing and investors need to consider these changes when making investment decisions. Investors have pulled over $400 billion out of equity mutual funds since 2008, resulting assets of some of those funds being cut in half. Money has flowed into bond funds, but even more money (eight times as […]
Categories: Brokerage Firms, Economy, Investment Advisers, Investor Alerts, Market Developments, Mutual Funds, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Stocks
Posted by Page PerryonDecember 8, 2011
A report issued by the McKinsey Global Institute forecasts that investor allocation to equities worldwide will drop from 28 percent in 2010 to 22 percent in 2020. (“Equities Losing Appeal in Global Financial System,” InvestmentNews).
Categories: Brokerage Firms, Economy, Investment Advisers, Investor Alerts, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Stocks
Posted by Page PerryonNovember 30, 2011
A recent Bloomberg Markets Magazine article raises troubling questions about investment corruption at the highest levels of government. In July 2008, as market fears mounted, Treasury Secretary Henry Paulson reportedly met with a group of hedge fund managers (five of whom were former officers of Goldman Sachs, where Paulson was CEO), and described a scenario […]
Categories: Brokerage Firms, Common Securities Broker Abuses, Hedge Funds, Insider Trading, Investigations, Investment Advisers, Investor Alerts, Preferred Stocks, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Stocks
Posted by Page PerryonNovember 21, 2011
Fitch Ratings issued a report on November 16 on the U.S. banking sector saying that “the risks of a negative shock are rising” if the effects of European debt crisis keep spreading. (“Fitch’s Warning Spooks Investors, ” Wall Street Journal).
Categories: Bank of America, Bonds, Brokerage Firms, Credit Default Swaps, Economy, Goldman Sachs, Investigations, Investment Advisers, Investor Alerts, J. P. Morgan Chase, Market Developments, Morgan Stanley, RBC Dain Raucher, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Stocks
Posted by Page PerryonNovember 14, 2011
When world markets move significantly in apparent response to major macroeconomic news, even supposedly “uncorrelated assets” move in unison with them, according to Jason Zweig’s Wall Street Journal article, “Caging Raging Contagion.” Such a significant move occurred last week when the Italian government and bonds collapsed over its fiscal problems, and everything else fell, too.
Categories: Alternative Funds, Alternative Investments, Asset Backed Securities, Bonds, Brokerage Firms, CDOs, Closed End Funds, Common Securities Broker Abuses, Derivatives, Exchange-Traded Funds (ETFs), Hedge Funds, High Yield (Junk) Bonds, Investigations, Investment Advisers, Investor Alerts, Mortgage Backed Securities, Mortgage Securities & Collateralized Debt Obligation Problems, Mutual Funds, Nontraded REITs, Preferred Stocks, Private Investments/Reg D, REITs, Reverse Convertibles, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Stocks, Structured Notes
Posted by Page PerryonNovember 10, 2011
“[I]nvestors face a perfect storm ? risky assets priced to achieve dismal long-term returns (except in comparison to equally dismal alternatives), coupled with the risk of an oncoming recession,” according to John Hussman (“John Hussman: Nearly every asset class set for ‘miserably low’ returns,” InvestmentNews).
Categories: Alternative Investments, Bonds, Brokerage Firms, Investment Advisers, Investor Alerts, Money Market Funds, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Stocks
Posted by Page PerryonOctober 25, 2011
Major accounting firms that are supposed to perform audits on big banks and other public companies may have played a role in creating the credit crisis. The Public Company Accounting Oversight Board (the “Board”) found evidence that at least one of the Big Four firms routinely performed flawed audits on banks. According to a harshly […]
Categories: Brokerage Firms, Common Securities Broker Abuses, Investigations, Investment Advisers, Investor Alerts, Regulatory Developments, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Stocks
Posted by Page PerryonOctober 25, 2011
The herd mentality of brokerage firm analysts often plays a substantial obstacle to successful investing according to neuroeconomist and behavioral finance presenter Barry Ritholz, CEO of Fusion IQ and author of The Big Picture blog.
Categories: Brokerage Firms, Common Securities Broker Abuses, Fairness/Just & Equitable Conduct, Investment Advisers, Investor Alerts, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Stocks, Unsuitable Recommendations