Author: D. Daxton White
SEC charges filed involving Claymore Dynamic Equity Fund
The Securities and Exchange Commission recently charged two investment advisory firms and two portfolio managers for their roles in the...
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...
Recovery of Reef SWD 2007-A Investment Losses
Reef SWD 2007-A Securities Investigation Have you suffered losses in Reef SWD 2007-A, L.P. (also known as Reef Saltwater Disposal...