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Recent Posts in Options Category

Investors Seeking to Recover Losses from Unsuitable UBS' Yield Enhancement Strategy (YES)

In the wake of severe industry losses at the hands of volatility virus XIV, Credit Suisse's VelocityShares Daily Inverse VIX Short-Term Exchange-Traded Note, UBS' Yield Enhancement Strategy ...
Continue reading "Investors Seeking to Recover Losses from Unsuitable UBS' Yield Enhancement Strategy (YES)" »

Omer Ozeren Sanctioned for Unauthorized Use of Discretion and Faulty ETF Recommendations

FINRA fined, suspended, and ordered former ACE Diversified Capital of Los Angeles representative Omer Ozeren to pay restitution to clients whose accounts he allegedly traded on a discretionary basis ...
Continue reading "Omer Ozeren Sanctioned for Unauthorized Use of Discretion and Faulty ETF Recommendations" »

Richard Foster Sanctioned for Unsuitable IRA Liquidation Recommendation, Risky ETF Trading Strategy

FINRA fined and suspended former Cetera Investment Services broker Richard Charles "Chuck" Foster for unsuitably recommending that a customer liquidate an IRA, and using the proceeds to ...
Continue reading "Richard Foster Sanctioned for Unsuitable IRA Liquidation Recommendation, Risky ETF Trading Strategy" »

Ex-Raymond James Broker Scott Sibley Barred for 900 Unauthorized Transactions, Unsuitable Recommendations to 10+ Seniors

FINRA barred former Raymond James & Associates broker Scott Allen Sibley for effecting approximately 900 securities transactions in the account of a 62-year-old client unable to work for medical ...
Continue reading "Ex-Raymond James Broker Scott Sibley Barred for 900 Unauthorized Transactions, Unsuitable Recommendations to 10+ Seniors" »

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" »

Merrill Lynch to Pay $415 Million in SEC Order for Misusing Customer Cash, in Addition to $5 Million FINRA order for Materially Misleading Investors

Merrill Lynch agreed to pay $415 million and admit wrongdoing after an SEC investigation found the firm misused customer cash to generate profits, and collaterally put customer securities at risk by ...
Continue reading "Merrill Lynch to Pay $415 Million in SEC Order for Misusing Customer Cash, in Addition to $5 Million FINRA order for Materially Misleading Investors" »

FINRA Fines Morgan Stanley $80,000 for Supervisory Failures, Deletion of 21k OTC Options Positions

Morgan Stanley & Co. LLC received a censure and $80,000 fine after a FINRA investigation determined the firm improperly deleted 21,374 over-the-counter (OTC) options positions required to be ...
Continue reading "FINRA Fines Morgan Stanley $80,000 for Supervisory Failures, Deletion of 21k OTC Options Positions" »

New FINRA Investor Alert Warns of All-or-Nothing or Binary Options Trading Fraud Risk

FINRA issued an investor alert on binary options trading, pointing to similar Commodity Futures Trading Commission (CFTC) and SEC alerts that already warn investors as to the dangers and extreme risk ...
Continue reading "New FINRA Investor Alert Warns of All-or-Nothing or Binary Options Trading Fraud Risk" »

NASAA Names Top 9 Investor Threats for 2015

The North American Securities Administrators Association (NASAA), whose membership consists of securities administrators across all 50 states, territories, Canada and Mexico, released its top nine ...
Continue reading "NASAA Names Top 9 Investor Threats for 2015" »

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" »

SEC National Exam Program Issues Broker-Dealers Priorities List for 2014

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations issued examination priorities for 2014 as part of the office's National Exam Program, whose mission ...
Continue reading "SEC National Exam Program Issues Broker-Dealers Priorities List for 2014" »

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" »

TD Ameritrade Clearing & SG Americas Securities Fined $1.8 Million for Reporting, Supervisory Violations

FINRA fined TD Ameritrade Clearing, Inc. and SG Americas Securities, LLC for failure to report large options positions and related failure to supervise. According to FINRA, the two firms failed to ...
Continue reading "TD Ameritrade Clearing & SG Americas Securities Fined $1.8 Million for Reporting, Supervisory Violations" »

A Survey of Reverse Convertible Risks as Bank of America Takes Structured Note Sales Title

As Bank of America flies into the structured note sales lead amongst US investment firms with $3.28 billion of issuance with $3.04 billion (94%) linked to equities, an overview of the risks associated ...
Continue reading "A Survey of Reverse Convertible Risks as Bank of America Takes Structured Note Sales Title" »

FINRA Suspends James A. Owen and Orders Restitution to his Customers

The Financial Industry Regulatory Authority (FINRA) suspended broker James A. Owen of Easton, Pennsylvania and ordered him to pay a total of nearly $330,000 in restitution and fines after finding ...
Continue reading "FINRA Suspends James A. Owen and Orders Restitution to his Customers" »
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