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February 17, 2012
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Blog, Current Investigations, Securities Fraud
A structured product, also known as a market linked investment, is generally a pre-packaged investment strategy based on derivatives, such as a single security, a basket of securities, options, indices, commodities, debt issuance and/or foreign currencies, and to a lesser extent, swaps. Broker-dealers have long
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February 3, 2011
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Blog, Securities Fraud
Broker-dealer sales of opaque and illiquid private investments are squarely in the sights of securities regulators at the Financial Industry Regulatory Authority Inc. In fact, Regulation D private placements and “close cousin” non-traded real estate investment trusts are listed as the first and second areas of
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June 23, 2009
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Blog, Securities Fraud
Reverse convertibles are short-term bonds that pay high yields and are coupled to well known stocks. The bonds generally have terms of three months to one year and promise to repay the investor their principal plus exceedingly high interest rates (generally between 6% and 13%) unless the price of the underlying stock
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