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Recent Posts in Closed-End Funds Category

Unauthorized Trading, Suitability, and Customer Abuse Complaints Catch Up to Wedbush's William Mark Heiden of Southern California

With 14 customer disputes and millions paid in settlements since 2015 surrounding allegations of unsuitable recommendations, unauthorized trading, overconcentration, abuse of margin, fraud, elder ...
Continue reading "Unauthorized Trading, Suitability, and Customer Abuse Complaints Catch Up to Wedbush's William Mark Heiden of Southern California" »

Jonathan W. Evans & Associates is Investigating Claims Against William Mark Heiden & Wedbush Securities over Energy Stock Overconcentration

The Law Offices of Jonathan W. Evans & Associates is investigating possible claims that Wedbush Securities, Inc. broker William Mark Heiden (Newport Beach, California) mismanaged client accounts ...
Continue reading "Jonathan W. Evans & Associates is Investigating Claims Against William Mark Heiden & Wedbush Securities over Energy Stock Overconcentration" »

Ameriprise Financial Failed to Supervise Michael Halla's Unsuitable Closed End Fund Short-Term Trading, Fined $100,000

FINRA fined Ameriprise Financial Services $100,000 for failing to supervise ex-broker Michael Edward Halla's unsuitable short-term trading of IPO closed end funds (CEFs). The investigation notes ...
Continue reading "Ameriprise Financial Failed to Supervise Michael Halla's Unsuitable Closed End Fund Short-Term Trading, Fined $100,000" »

Risks and Rewards Abound for Closed-End Funds

Closed-end funds (CEFs) can be popular vehicles for portfolio diversification in the long-term, although these funds come with certain volatility risks. CEFs are primarily designed for clients with ...
Continue reading "Risks and Rewards Abound for Closed-End Funds" »

Concentration Risk: The Implications of Putting All Your Eggs in One Basket

Concentration risk occurs when a large portion of a portfolio's holdings is in a particular investment relative to the overall portfolio. This can be caused or perpetuated through: >> ...
Continue reading "Concentration Risk: The Implications of Putting All Your Eggs in One Basket" »

Dangerous Words: SEC Cautions Firms to Stop Using "Protected," "Guaranteed" in Fund Names

The SEC acknowledged concern about fund names, releasing a guidance update advising investment companies, firms, and issuers against using misleading terminology when naming mutual funds, namely and ...
Continue reading "Dangerous Words: SEC Cautions Firms to Stop Using "Protected," "Guaranteed" in Fund Names" »

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" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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Phone: (800) 699-1881 | Local Phone: (818) 760-9880.
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