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Investors Once Again Getting Stuck With The Short End Of The Stick
Fri, Dec. 19 • 9 Comments
- Government actions have harmed investors' interests.
- A court made insider trading easier; FINRA gave a "wrist slap" for sharp research practices.
- Congress voted to roll back Dodd-Frank protections.
Puerto Rico's Day Of Economic Reckoning Has Arrived
- Puerto Rico's economy Is tanking.
- The FBI raided two Puerto Rico authorities.
- Bond defaults are looming.
Could Falling Oil Prices Create The Next Financial Disaster For Mom And Pop Investors?
- Falling oil prices, good for customers, could harm investors.
- The shale business and high yield energy bonds could tank.
- Investors should beware the energy sector.
Wall Street's Shameful Commodities Market Play
- The Senate charged Wall Street firms with manipulating the commodities market.
- Goldman Sachs, JPMorgan and Morgan Stanley allegedly influenced commodity prices.
- Wall Street profited at consumers' expense.
The Securities Industry Labels Efforts To Protect Investors As Too Costly
Wed, Nov. 19 • 3 Comments
- FINRA has proposed a "Comprehensive Automated Risk Data System" (CARDS) to prevent investor abuses.
- SIFMA, the securities industries lobby, is trying to kill CARDS.
- Investors are willing to pay for more protection.
Will The Republican Election Sweep Damage Investor Protection?
Thu, Nov. 13 • 4 Comments
- The Republican election could damage investor protection.
- The SEC needs to side on the fiduciary duty rule for investors and the accredited investor rule revamp.
- Given the political climate, it is likely that the SEC will not move forward with these investor protection rules.
Is Puerto Rico Heading Towards A Federal Bailout?
Tue, Nov. 4 • 2 Comments
- Puerto Rico's financial condition continues to deteriorate.
- Puerto Rico faces a narrowing liquidity with its cash dwindling.
- Puerto Rico may be forced to seek a federal bailout.
As Market Fear Heightens, Risky And Opaque Structured Notes Make A Comeback
- Recent volatility has led advisers to "push" structured products.
- These products seek to provide market upside and limit risk.
- Investors need full risk disclosure about potential losses.
Will Holder's Successor Also Deem Wall Street Execs 'Too Big To Jail'?
Fri, Sep. 26 • 6 Comments
- Attorney General Holder said that Wall Street criminals will be prosecuted.
- Investors have lost confidence in the system.
- The new attorney general needs to show that no one is "Too Big To Jail."
Like Villains From A James Bond Flick, Hedgies Coolly Play Their Hand In Puerto Rico
Mon, Sep. 15 • 1 Comment
- Hedge funds own 10% of Puerto Rico's bonds.
- The funds are exerting influence over the government.
- The funds are seeking short-term gains at bond holders' expense.
The Puerto Rico Economy Nears The Abyss
- Puerto Rico's economy continues to tank.
- Economic activity has fallen for the 19th straight month to a twenty-year low.
- UBS investor bond holders are sure to suffer.
Wall Street's Breach Of Trust
Fri, Sep. 5 • 7 Comments
- There is no "Fiduciary Duty" rule in place to protect investors.
- The Dodd Frank law gave the SEC the authority to pass the rule.
- Wall Street lobbying has killed the rule.
It's High Time To Put The Investor First And Create A Fiduciary Standard For Brokers
Tue, Aug. 26 • Comment!
- In 2008, Congress authorized the SEC to pass a "fiduciary duty" rule.
- The rule requires stock brokers to put their customers' interests first.
- Wall Street has been lobbying to kill the rule.
Puerto Rico Bondholders See No Light At The End Of The Tunnel
- UBS Puerto Rico Bond fund holders are suffering huge losses.
- Oppenheimer And Franklin Templeton Funds contain large positions in Puerto Rico debt.
- These funds are being crushed.
Puerto Rico's Economy Is Gasping For Air
- Puerto Rico passed a law allowing government corporations to file for bankruptcy.
- Bondholders have challenged the law in court.
- Bondholders are likely to suffer losses.
Is Wall Street Setting Us Up For A Redo Of The 2008 Bubble Burst?
Thu, Jul. 17 • 16 Comments
- Worldwide asset bubble is growing.
- Investors need to beware of a 2008 redo.
- Investors should beware of exotic high yield investments.
The Supreme Court Strikes Again: The Court Rules Against Business And In Favor Of Employee Stock Rights
- The Supreme Court rules for employees in an ERISA class action.
- Fiduciaries are not entitled to a "Presumption Of Prudence."
- Fiduciaries can be held liable for employees' stock losses.
The Supreme Court Deals A Blow To Big Business In Favor Of Investors
- The Supreme Court dealt a blow to big business in the Halliburton case.
- The case preserved the "fraud on the market theory."
- Investors retain their rights to sue in class action cases for fraud.
Investors Get Steamrolled By IRA Rollovers
Mon, Jun. 23 • 25 Comments
- Retirees are rolling over their company 401(k) accounts to IRA accounts.
- Such rollovers often entail higher fees and risk.
- Investors should carefully consider their IRA rollover options.
Hedge Funds And Alternative Investments Are Too Complex And Costly For Mom And Pop Investors
Wed, Jun. 18 • 1 Comment
- Hedge funds have not performed well in the past few years.
- Hedge funds are inherently risky.
- Retail investors should be careful investing in hedge funds.
Investors Should Beware Of Brokers Who Churn
Mon, Jun. 9 • 1 Comment
- Stockbrokers continue to churn customer accounts.
- Churning involves excessive trading to generate commissions.
- Investors should review their accounts for churning.
Did Phil Mickelson Get A Wall Street Mulligan?
- Phil Mickelson is being investigated for insider trading.
- Mickelson received a tip about Carl Icahn's Clorox bid.
- Mom and Pop investors never have this edge.
Investors Are Chasing Yield At Their Own Peril
Tue, May. 27 • 35 Comments
- Investors are piling into risky corporate bonds and pink sheet stocks.
- Investors and financial advisors need to evaluate these risks.
- Investors could get burned if defaults occur.
Retirees, Beware The Variable Annuity 2.0
Fri, May. 23 • 25 Comments
- Variable annuity sales are down.
- New "investment focused" annuities are being issued.
- Investors should beware of these products.
Puerto Rico Takes A Flurry Of Body Blows
- Puerto Rico is taking financial hits.
- Tax revenues are down and bonds are being downgraded.
- Doral Financial is in danger of default on bonds and notes.
Beware Of The Equity Indexed Annuity
Wed, May. 7 • 5 Comments
- Stockbrokers have been pitching "Equity Indexed Annuities."
- FINRA has been scrutinizing such sales.
- Red flags include "switching" and high commissions.
The Velvet Rope Of Private Equity Opens For Retail Investors
Tue, Apr. 29 • 2 Comments
- NASDAQ will open private equity sales to retail investors.
- Private equity investing entails significant risks.
- Investors do not appreciate these risks.
What Should Investors Know About Their Broker?
Thu, Apr. 24 • 1 Comment
- Investors do no due diligence on their stockbrokers.
- Many stockbrokers fail to disclose negative information.
- FINRA will address this problem.
Puerto Rico Bond Offering: The New 'At Risk' Trade
Mon, Apr. 14 • 1 Comment
- The March Puerto Rico bond offering was sold primarily to hedge funds.
- Puerto Rico municipal bonds were previously sold primarily to retail buy and hold investors.
- The hedge fund purchasers flipped their holdings shortly after the purchases, fearing a likely restructuring of the debt.
High Speed Insider Trading And How It Hurts Mom And Pop Investors
Tue, Apr. 8 • Comment!
- High frequency traders (HFT) make tiny profits on hundreds of thousands of trades a day.
- HFTs are “frontrunning” retail investors and taking their profits.
- Regulators may charge the HFTs with insider trading.
The SEC Must Follow Puerto Rico's Investor Protection Lead
Tue, Apr. 1 • 1 Comment
- Puerto Rico has a fiduciary duty rule for financial advisors.
- The SEC has failed to implement a fiduciary duty rule governing advisors in the mainland states.
- The SEC should follow Puerto Rico's lead and adopt a fiduciary duty rule.
Tapping Into Home Equity To Buy Stocks Is A Very Risky Proposition
Tue, Mar. 25 • 18 Comments
- Financial advisors are recommending that retail investors tap their home equity to buy stocks.
- This strategy harmed investors in years 2000 and 2008.
- The risks do not outweigh the benefits.