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Blog Posts in April, 2012

Discipline: Some Morgan Stanley Structured Product Purchases Failed to Comply with Internal Guidelines

The Financial Industry Regulatory Authority (FINRA) has found Morgan Stanley & Co. LLC in violation of several industry rules, findings which the Firm has accepted for the purposes of proposing a ...
Continue reading "Discipline: Some Morgan Stanley Structured Product Purchases Failed to Comply with Internal Guidelines" »

Discipline: Barclays Capital Fined $3 Million After Providing Inaccurate Information to Investors

The Financial Industry Regulatory Authority (FINRA) has fined Barclays Capital, Inc. $3 million for inaccurate representation and lack of supervision related to their issuance of residential subprime ...
Continue reading "Discipline: Barclays Capital Fined $3 Million After Providing Inaccurate Information to Investors" »

Discipline: Stephen Wilson (Prudential, Wachovia) Barred for Unsuitable Recommendations and Unauthorized Trading

The Financial Industry Regulatory Authority (FINRA) has barred broker Stephen W. Wilson (formerly of Prudential Securities, Inc. and Wachovia Securities, LLC) for fraud violation, recommending ...
Continue reading "Discipline: Stephen Wilson (Prudential, Wachovia) Barred for Unsuitable Recommendations and Unauthorized Trading" »

Home Hazard: The Danger of Using a Mortgage to Finance Investments

When times are good—the stock market is high and mortgage interest rates are low—some investors consider refinancing or otherwise modifying their mortgage in order to invest in securities. ...
Continue reading "Home Hazard: The Danger of Using a Mortgage to Finance Investments" »

Promissory Notes and Fraud

When a potential investor is looking for a company to invest in, chances are some companies will advertise promissory notes. Under this structure, an investor will lend a company a certain principal ...
Continue reading "Promissory Notes and Fraud" »

High Yield Investment Programs (HYIP): A Risky Venture

High Yield Investment Programs (HYIPs) refer to a number of different investment options that are often aggressively promoted to investors, promising high, improbable and unsustainable rates of ...
Continue reading "High Yield Investment Programs (HYIP): A Risky Venture" »

Getting to Know Reverse Convertibles

In recent years, brokers and banks alike have been marketing complex investments to their investors, such as reverse convertibles. A reverse convertible is a short-term, high-yield investment whose ...
Continue reading "Getting to Know Reverse Convertibles" »
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