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Keeping Your Signing Bonus May Get Easier?
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March 10, 2010 @ 3:33 pm |
A recent article at a financial adviser publication ran this headline, without the question mark, reporting on a broker's win on a promissory note case as if it was a major breakthrough in the financial world. It's not. Certainly the award against the broker of approximately $20,000 on a $142,000 note is a win, but the broker also had to pay $13,000 in forum fees, presumably because he filed a third party claim against two individuals (on which he did not receive any award). Still, it is a win, but not unusual. I have been representin... Read Full Article
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Phony Web Site Targets Madoff Investors
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March 10, 2010 @ 3:29 pm |
The SEC has issued a press release warning investors of a phony web site that is attempting to obtain information from Madoff victims. The site asks for information in order to obtain a refund from funds allegedly collected by the fraudulent company. The company's website and name is very close to SIPC's name and web site, and hopefully investors will not be fooled by the scam. Investors who are looking to recover their funds should already have been in touch with SIPC, and an experienced securities attorney. Read Full Article
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FINRA CEO Speaks on Reforms in Fixed Income Markets
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March 10, 2010 @ 2:00 pm |
Rick Ketchum, Chairman and CEO, FINRA, spoke at the FINRA Fixed Income Conference on March 9, 2010. Here is an excerpt from his conclusion: We as regulators must keep pace with the changes in fixed income markets—recognizing the differences across......
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SEC Warns Investors of Phony Web Site Targeting Madoff Fraud Victims
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March 10, 2010 @ 1:38 pm |
The Securities and Exchange Commission is alerting investors about a Web site that falsely claims to have recovered $1.3 billion in funds hidden by convicted Ponzi schemer Bernard Madoff in Malaysia. The site asks Madoff victims to submit information to verify that they are on a refund list — a ploy commonly used by con artists to further rip off financial fraud victims....
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A Look Into Perpetual Bonds
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March 10, 2010 @ 7:38 am |
The clue as to what a perpetual bond actually is lies in its name. Perpetual means ongoing, and that is exactly what this bond does. It has no date by which it matures, so you cannot redeem it once you have one....
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CFTC Accuses C&R Financial Of Runnning Forex Ponzi
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March 9, 2010 @ 11:00 pm |
The U.S. Commodity Futures Trading Commission has filed suit accusing C&R Financial and its owner Willie Lee Cloud Jr. of promising investors they could double or triple their money through foreign currency trading but ending up losing or misappropriating most of the customers' cash....
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 Keeping Your Signing Bonus May Get Easier?
- A recent article at a financial advise...
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Phony Web Site Targets Madoff Investors
- The SEC has issued a press release war...
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Connecticut AG Sues Moody's and S&P, Alleging Tainted Credit Ratings for Risky Investments
- Connecticut Attorney General Richard Blumenthal today sued Moody’s and Standar...
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SEC Charges Broker with Diverting $3.3 Million of Customer's Funds to Another Customer
- The SEC today charged Jose O. Vianna, Jr., a former registered representative at...
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Former HBOC GC Settles Accounting Fraud Charges at McKesson HBOC
- The SEC settled charges against Jay Lapine, the former GC of HBO & Company, ...
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SEC Obtains Emergency Relief Against Ponzi Scheme Pitching Phony "Turkish Eurobonds"
- On March 9, 2010, the SEC obtained an emergency court order to shut down a Ponzi...
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Former Chief Investment Officer of New York Pension Fund Pleads Guilty to Corruption Charges
- New York Attorney General Andrew M. Cuomo today announced that David Loglisci, t...
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FINRA CEO Speaks on Reforms in Fixed Income Markets
- Rick Ketchum, Chairman and CEO, FINRA, spoke at the FINRA Fixed Income Conferenc...
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SEC Warns Investors of Phony Web Site Targeting Madoff Fraud Victims
- The Securities and Exchange Commission is alerting investors about a Web site th...
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SEC Halts Ponzi Scheme Preying on Retirees Attending Estate Planning Seminars
- The Securities and Exchange Commission has obtained an emergency court order to ...
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6 Month CD Rates Vs 12 Month CD Rates - Basics
- Many people are interested in investing in CD accounts but become confused about...
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A Look Into Perpetual Bonds
- The clue as to what a perpetual bond actually is lies in its name. Perpetual mea...
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Why Do People Prefer Investing in Gold Rather Than Silver?
- The main reason for which we use gold is to store value. Gold is our reserves....
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Is There a Lot of Risk Investing in Bonds?
- Every investment you go for carries a certain amount of risk. The question is wh...
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CFTC Accuses C&R Financial Of Runnning Forex Ponzi
- The U.S. Commodity Futures Trading Commission has filed suit accusing C&R Financ...
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MEMC Shareholders Lose Suit Over Factory Problems
- A federal judge has dismissed two consolidated class actions alleging solar cell...
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Judge Queries Del. Court On Merrill Derivative Suit
- A federal judge has requested input from the Delaware Supreme Court in a so-call...
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Sens. Introduce Volcker Bill Despite Weak Support
- Two Democratic senators on Wednesday introduced a beefed-up version of the ban o...
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Pension Fund Exec Pleads Guilty In Pay-To-Play Case
- The former chief investment officer for the New York Office of the State Comptro...
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Conn. AG Hits Moody's, S&P With Subprime Suits
- Connecticut Attorney General Richard Blumenthal has hit Moody's Investors Servic...
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Citigroup Dodges Arbitration Over Swap Write-Down
- The U.S. Court of Appeals for the Second Circuit has affirmed a lower court's de...
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Dykema Bests Malpractice Suit Appeal
- Following a favorable jury verdict with a win on appeal, Dykema Gossett PLLC has...
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16 Steps to Building Blocks of Inheritance For Your Children
- You shouldn't confuse wealth with prosperity. Wealth is abundance of properties ...
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SIPC Warns About Bogus Website Aimed at Madoff Victims
- The Securities Investor Protection Corporation (SIPC), which maintains a special...
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SEC Brings Reg FD Charges Against Presstek and Former CEO
- The SEC brought Regulation FD charges against Presstek, Inc. ("Presstek&quo...
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SEC Charges Former Stock Loan Trader in Cash Kickback Scheme
- The SEC filed charges against a former securities lending, or "stock loan,&...
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CFTC Chairman Speaks out on Regulating OTC Derivatives
- Two speeches today by CFTC Chairman Garny Gensler. First, delivering the Keynote...
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4 Tips to Make Money on Investing
- Ever thought of investing your hard earned money? You can make a lot of profits ...
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Chief Economist James Overdahl to Leave SEC
- The Securities and Exchange Commission announced today that Chief Economist Jame...
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Saving and Investing - The Differences
- The most fundamental difference between saving and investing is the financial ob...
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