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Recent Posts in Volatility 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)" »

John Simoncic Barred for Churning Retirement Accounts with VIX ETF

FINRA barred John Scott Simoncic, formerly of Financial West Group (Reno, Nevada and San Diego, California) and Securities America (Solana Beach, CA), for churning customer accounts, engaging in ...
Continue reading "John Simoncic Barred for Churning Retirement Accounts with VIX ETF" »

UNG Leads Worst Performing Passive Funds Since 2008's Financial Crisis

For many investors with conservative-to-moderate risk tolerance looking for investment income, a so-called "passive fund" may often be the way to go: place money in low-cost products and ...
Continue reading "UNG Leads Worst Performing Passive Funds Since 2008's Financial Crisis" »

Wells Fargo Advisors Pays $5 Million to Settle SEC's MLI Short-Term Trading Charges

Having found that Wells Fargo Advisors' improper sales of complex financial products imposed "substantial costs" on the firm's retail customers while generating commissions for the ...
Continue reading "Wells Fargo Advisors Pays $5 Million to Settle SEC's MLI Short-Term Trading Charges" »

Losses in LJM Partners' Funds Spotlight Suitability, Risk Management in Complex Mutual Funds

Investors who lost money investing in LJM Partners Ltd and associated funds, including the LJM Preservation and Growth Fund (LJMAX, LJMCX, and LJMIX), may have been exposed to far too much risk and ...
Continue reading "Losses in LJM Partners' Funds Spotlight Suitability, Risk Management in Complex Mutual Funds" »

Banks and Brokers Recommending Risky Reverse Convertibles to Combat Volatility Despite Prior Discipline

Though one might think banks and brokerages would choose simplicity in the wake of February's volatility-induced panic when uninformed brokers took on too much risk, it turns out the market for ...
Continue reading "Banks and Brokers Recommending Risky Reverse Convertibles to Combat Volatility Despite Prior Discipline" »

Credit Suisse CEO Warned Unsophisticated Investors Not to Invest in XIV as Lawsuit Alleges Fraud

A New York lawsuit filed against Credit Suisse Group AG alleges that the firm failed to disclose that it was manipulating its VelocityShares Daily Inverse VIX Short-Term exchange-traded notes (ticker ...
Continue reading "Credit Suisse CEO Warned Unsophisticated Investors Not to Invest in XIV as Lawsuit Alleges Fraud" »

SEC Warned of Volatility-Linked Exchange-Traded Notes' Complexity Before XIV Crash

Over two years before Credit Suisse's VelocityShares Daily Inverse VIX Short-Term Exchange-Traded Note (NASDAQ:XIV) lost 95% of its value this February, the Securities & Exchange Commission ...
Continue reading "SEC Warned of Volatility-Linked Exchange-Traded Notes' Complexity Before XIV Crash" »

'Volatility Virus' XIV Devastated Wall Street and Ravaged Private Investors as Uninformed Brokers Took on Too Much Risk

Bemoaning the "volatility virus" known as XIV—or Credit Suisse's VelocityShares Daily Inverse VIX Short-Term Exchange-Traded Note—the Financial Times shed the spotlight on an ...
Continue reading "'Volatility Virus' XIV Devastated Wall Street and Ravaged Private Investors as Uninformed Brokers Took on Too Much Risk" »

Study: Fidelity Increased Risk for 6 Million Retirement Savers

As Fidelity's Freedom Funds experienced $16 billion in net withdrawals over the past four years all while outperforming 85% of the competition, a recent Reuters report investigated why withdrawals ...
Continue reading "Study: Fidelity Increased Risk for 6 Million Retirement Savers" »

Volatility Funds Take a Dive - VelocityShares, ProShares VIX Round Out Worst Performing Volatility ETPs

February's stock market turbulence unearthed risk inherent in so-called volatility funds, which are tied to how stable or unstable the markets are. For example, although Credit Suisse's ...
Continue reading "Volatility Funds Take a Dive - VelocityShares, ProShares VIX Round Out Worst Performing Volatility ETPs" »

Suitability and Firms' Duty to Disclose Comes into Focus as VelocityShares Daily Inverse VIX Exchange Traded Notes (XIV) Falls

After losing 95% of its value in early February, issuer Credit Suisse announced plans to liquidate VelocityShares Daily Inverse VIX Short-Term Exchange-Traded Note (NASDAQ:XIV), capping off a rough ...
Continue reading "Suitability and Firms' Duty to Disclose Comes into Focus as VelocityShares Daily Inverse VIX Exchange Traded Notes (XIV) Falls" »

FINRA Warned of Volatility-Linked ETNs Before February Stock Market Plunge

A CNBC report traced the source Wall Street's recent rout—including a single-day Dow Jones loss of over 1,000 points—in part, to volatility-linked exchange-traded notes (ETNs) that ...
Continue reading "FINRA Warned of Volatility-Linked ETNs Before February Stock Market Plunge" »
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