Month: December 2012
Not All ETFs are the same.
In March 2010, the Securities and Exchange Commission (SEC) began a review of the use of derivatives by ETFs, specifically actively-managed...
Yield Seeking Investors Beware of Structured Notes
According to an Investment News report, structured notes are poised to surpass FDIC-principal protected structured certificates of deposit...
Ongoing Investigation Into Non-traded REITs sold by Ray Lucia
Earlier this year Ray Lucia Sr. was charged by the Securities and Exchange Commission for spreading misleading information about his...
LPL sued by Massachusetts securities regulators
According to reports, Massachusetts securities regulators have sued LPL Financial, LLC over sales practices of brokers regarding non-traded...