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Blog Posts in October, 2013

Closed-End Fund Distributions FINRA Investor Alert Issued: Points to Consider

FINRA issued an investor alert this week titled " Closed-End Fund Distributions: Where is the Money Coming From? " in which it discusses the difference between a closed-end fund versus a ...
Continue reading "Closed-End Fund Distributions FINRA Investor Alert Issued: Points to Consider" »

About Time: FINRA Files Complaint Alleging Unsuitable Recommendations, Falsification of Records After Beverly Hills Broker Bambi Holzer Suspended From Industry

Following her September 2013, suspension from the securities industry for failing to pay an arbitration award, FINRA filed a civil enforcement complaint against Bambi Holzer alleging multiple ...
Continue reading "About Time: FINRA Files Complaint Alleging Unsuitable Recommendations, Falsification of Records After Beverly Hills Broker Bambi Holzer Suspended From Industry" »

Warning about Wirehouses: Excess Fees, Depressed Profits Harmful to Clients

In his analysis of the modern Wall Street wirehouse, Focus Financial Partners CEO Rudy Adolf concludes that large, full-service brokerages have inflated prices and manufactured fees to support their ...
Continue reading "Warning about Wirehouses: Excess Fees, Depressed Profits Harmful to Clients" »

Study: FINRA Grants Expungement to Most Brokers in Arbitration; FINRA Responds

The Public Investors Arbitration Bar Association (PIABA) released a study, finding that after arbitration, most stockbrokers accused of wrongdoing who request expungement are granted the relief by ...
Continue reading "Study: FINRA Grants Expungement to Most Brokers in Arbitration; FINRA Responds" »

James Arnold Busch Accused of Stealing $1.3 Million from Elderly Customers

FINRA barred former Wells Fargo wealth advisor of stealing $1.3 million from mostly elderly customers, finding that Busch was able to misappropriate the money by manipulating customer bank accounts. ...
Continue reading "James Arnold Busch Accused of Stealing $1.3 Million from Elderly Customers" »

NASAA Calls Out New Scams, Rotates Five of Top 10 Investor Threats

The North American Securities Administrators Association (NASAA) added five new schemes to its list of top threats to investors. Leading the pack of new threats are proxy trading accounts, in which ...
Continue reading "NASAA Calls Out New Scams, Rotates Five of Top 10 Investor Threats" »

SEC: Small Violations Can Lead to Strong Enforcement, Sanctions, and Fines

The Securities and Exchange Commission is turning to a new Enforcement strategy: zero in on minor infractions in order to stop large violations from occurring later on. SEC Chairman Mary Jo ...
Continue reading "SEC: Small Violations Can Lead to Strong Enforcement, Sanctions, and Fines" »

558% Increase in Reverse Convertible Sales at Bank of America Signifies Acceptance of Increased Volatility and Risk

Bank of America reported $259.2 million in sales of structured notes linked to a single stock between January and October of 2013, over five and-a-half times greater than the $46.4 million sold ...
Continue reading "558% Increase in Reverse Convertible Sales at Bank of America Signifies Acceptance of Increased Volatility and Risk" »

Managed Futures Fund Fees: A Hidden Money Drain for a Sneaky Security

Morgan Stanley distributed material to potential investors advertising an alternative investment known as managed futures, claiming that diversity in adding a managed future offering to one's ...
Continue reading "Managed Futures Fund Fees: A Hidden Money Drain for a Sneaky Security" »

FINRA May Require Brokerage Firms to Carry Arbitration Insurance; Ensure Payment of More Awards

FINRA is considering adding a requirement that its firms carry arbitration insurance. The insurance would cover arbitration award payments to investors, protecting investors in the event that a firm ...
Continue reading "FINRA May Require Brokerage Firms to Carry Arbitration Insurance; Ensure Payment of More Awards" »

Over 5,000 Brokers from Barred Firms, Many Accused of Fraud, Still Selling Securities

A study of brokers sanctioned for financial misconduct has found that a number of these punished individuals resurface in the securities industry only to engage in further alleged instances of ...
Continue reading "Over 5,000 Brokers from Barred Firms, Many Accused of Fraud, Still Selling Securities" »

FINRA Charges John Carris Investments and CEO George Carris with Fraud and Stock Manipulation

FINRA charged John Carris Investments (JCI) and its CEO George Carris with fraud and stock manipulation, filing a cease-and-desist order against the firm to halt its solicitation of the Fibrocell ...
Continue reading "FINRA Charges John Carris Investments and CEO George Carris with Fraud and Stock Manipulation" »

Fraud in Modern America, a Nation at Risk-The Telltale Signs

The FINRA Investor Education Foundation has a message to investors. After thorough study of the subject, foundation president Gerri Walsh concluded that America is at risk of falling prey to ...
Continue reading "Fraud in Modern America, a Nation at Risk-The Telltale Signs" »

High Yield: FINRA Cautions Investors Against Excessive Risk Taking

FINRA chairman and chief executive Richard Ketchum is worried about risk—specifically, that investors might be incurring too much of it. Referring to aculture not satisfied by low-yield income ...
Continue reading "High Yield: FINRA Cautions Investors Against Excessive Risk Taking" »
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