Posts Tagged "Investor Information"

FINRA Investor Alert – Frontier Funds

Posted by on Oct 25, 2014 in Securities Arbitration, Securities Litigation | 0 comments

FINRA has issued an Investor Alert for frontier funds.  These funds target investments in developing countries with undeveloped securities markets.  Some of those countries include Argentina, Lebanon and Nigeria.  FINRA is concerned that investors may or may not realize the risks of investing in those types of markets.  According to FINRA, many of these developing markets may not have the legal, accounting and regulations that investors may otherwise have experienced.  As such, those types of investments should be considered carefully before moving forward. Read the entire article by...

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Information for Stock Buyers ~ FINRA Investors Bulletin

Posted by on Dec 1, 2013 in Estate Planning, Securities Litigation | 0 comments

FINRA has recently issued an investors bulletin containing information for stock buyers.  In the bulletin, FINRA suggests that stock investors should be using all of the information resources available to research the stocks they are looking at. Information for Stock Buyers FINRA recommends that stock buyers review, at a minimum, the following sources of information that is readily available. Research the company ~ For current information about a company check out the SEC’s EDGAR database. Find out where the stock trades ~ By looking at the exchange requirements an investor can get an...

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Initial Public Offering Investments (IPO)

Posted by on Jun 8, 2013 in Securities Arbitration | 0 comments

Investing in an initial public offering can be both exciting and risky.  The Securities and Exchange Commission recently posted an investor bulletin about the risks of investing in an initial public offering or IPO.  The bulletin provides lots of information regarding risks associated with investing in an IPO.  It also provides detailed information about how to use the SEC site to learn about companies that are going public. For your convenience a copy of the bulletin can be found at the bottom of this post. If you feel that you have been misled by advisers in connection with an IPO...

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JPMorgan Chase Brokers Favoring Bank’s Own Funds

Posted by on Jul 8, 2012 in News, Securities Arbitration | 0 comments

The NY Times published a report this week that suggest that JPMorgan Chase used its brokers to sell its own financial products even though there were better performing or cheaper options available to their customers.  In the case of at least one offering, the bank exaggerated the returns of what it was selling in its marketing material. Apparently, the bank encouraged these types of investments to improve its own financial situation at the expense of its customers.  By encouraging investments in its own funds and products, the bank secured a stable source of funds which contributed fees to...

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401(k) Fees have a Major Impact Upon Accounts

Posted by on Jun 1, 2012 in Securities Arbitration | 0 comments

The LA Times published a recent article about the high costs paid by investors in their 401(k) retirement funds.  According to the article the average investor could pay nearly 30% of the accounts value in fees.  They project that a dual income couple could be left with only $355,000 instead of the $500,000 that they could have had without the fees. To read the article follow this link: 401(k) fees could reduce average nest egg by 30%, study says If you have lost money in your 401(k) plan or other investment accounts due to recommendations made by your stock broker or investment adviser...

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