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Recent Posts in Derivatives Category

UBS to Pay $15 Million over Unsuitable Reverse Convertible Note Sales to Conservative and Retired Investors

UBS Financial Services and the SEC reached agreement for the firm to pay $15 million to settle charges that it failed to supervise, educate, and train staff regarding complex products known as reverse ...
Continue reading "UBS to Pay $15 Million over Unsuitable Reverse Convertible Note Sales to Conservative and Retired Investors" »

UBS Preparing Sales of High-Yield CoCo Bonds, A Risky Debt That Can Bail Out Banks At Expense of Investors

Primarily a foreign endeavor, so-called CoCo bonds may be immigrating to the United States with news that UBS Group AG is considering selling CoCos domestically. With much higher coupons—up to ...
Continue reading "UBS Preparing Sales of High-Yield CoCo Bonds, A Risky Debt That Can Bail Out Banks At Expense of Investors" »

2016 FINRA Priorities Letter Includes Brokerage Firm Culture and Ethics, Suitability, Seniors, Complex Products

2016 FINRA Priorities Letter Includes Culture and Ethics, Suitability, Seniors, Complex Products FINRA released its 2016 Regulatory and Examination Priorities Letter in which the regulator specified a ...
Continue reading "2016 FINRA Priorities Letter Includes Brokerage Firm Culture and Ethics, Suitability, Seniors, Complex Products" »

SEC to Fight Financial Elder Abuse and Fraud by Upping Broker and Advisor Oversight in Retirement Accounts

The SEC is increasing scrutiny in its reviews of retirement account and investments targeted to seniors, releasing a "National Exam Program Risk Alert" vowing to focus on brokers and ...
Continue reading "SEC to Fight Financial Elder Abuse and Fraud by Upping Broker and Advisor Oversight in Retirement Accounts" »

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" »

FINRA to Target Complex Investments Including REITs, ETFs and Mortgage Backed Securities in 2014 Exams

FINRA announced its Business Conduct Priorities for 2014 on Thursday, leading off with the issue of suitability of recommendations for complex products. In its discussion about suitability, FINRA ...
Continue reading "FINRA to Target Complex Investments Including REITs, ETFs and Mortgage Backed Securities in 2014 Exams" »

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" »

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" »

UBS-Sponsored Willow Fund Drops 80 Percent After Manager Sam Kim Switches to Risky Derivatives Strategy

UBS's long-standing and profitable Willow Fund, whose assets approached $500 million in 2006, recently began the process of liquidation after the fund's portfolio manager, Sam S. Kim, switched ...
Continue reading "UBS-Sponsored Willow Fund Drops 80 Percent After Manager Sam Kim Switches to Risky Derivatives Strategy" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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