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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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September 1, 2011
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Blog, Securities Fraud
Alternative Investments on the Rise, Increased Litigation Likely to Follow According to the Investment News, more than three-quarters of retail advisers are now using alternative investments in their client’s portfolios. This includes non-traded REITs, private equity investments, hedge funds, structured products
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July 28, 2011
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Blog, Securities Fraud
Broker-dealers have been engaging in sales practices for structured securities products that hurt retail investors, according to a Securities and Exchange Commission report recently released. In sweep examinations of 11 broker-dealers, the SEC found that the firms may have steered clients into the complex products
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June 17, 2011
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Blog, Securities Fraud
The retail market for structured notes with principal protection has been growing in recent years. While these products often have reassuring names that include some variant of “principal protection,” “capital guarantee,” “absolute return,” “minimum return” or similar terms, they are not risk-free.
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June 10, 2011
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Blog, Securities Fraud
If so, the securities attorneys of The White Law Group may be able to help. Structured notes and other derivatives products have been marketed by Wall Street as safe and secure investments. Of course, there’s safe and then there’s safe. Retail investors of all stripes have lost at least $113 billion by
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December 6, 2010
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Blog, Securities Fraud
If you have suffered investment losses in a structured product recommended to you by your financial advisor or stockbroker, The White Law Group may be able to help. A structured product is a newer type of investment product offered by the securities industry. It typically refers to a proprietary product that
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December 6, 2010
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Blog, Securities Fraud
The White Law Group is currently investigating certain Bank of America structured investments. It appears that these products, notwithstanding their risk of loss, were represented as safe and appropriate for someone looking to protect their principal. The structured products the firm is investigating includes, but
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October 12, 2010
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Blog, Securities Fraud
The Financial Industry Regulatory Authority (FINRA) has fined H&R Block Financial Advisors (now Ameriprise Advisor Services) $200,000 for failing to put in place the proper system to supervise its reverse convertible notes sales to retail clients. FINRA also suspended H & R broker Andrew MacGill for 15 days
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