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Archived Articles for June, 2011
Investors Beware -- FINRA Issues Investor Alert -- Structured Notes With Principal Protection: Note the Terms of Your Investment
June 9, 2011 @ 9:28 am
    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. Any promise to repay some or all of the money you invest will depend on the creditworthiness of the issuer of the note—meaning you could lose al...
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David Lerner & Associates, Inc. Defrauds Unsophisticated and Elderly Investors though Sale of Apple Real Estate Investment Trusts or REITs.
June 6, 2011 @ 9:11 am
    Since January 2011, David Lerner Associates, Inc. ("David Lerner Associates") has recommended and sold over $300 million of a $2 billion real estate investment trust (REIT) — Apple REIT Ten — without performing adequate due diligence in violation of its suitability obligations. Earlier Apple REITs under the same management inappropriately valued the REITs’ shares at a constant artificial price of $11 notwithstanding years of market fluctuations, performance declines, increased leverage and excessive return of capital to investors. David Lerner Associates, in i...
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Annuity Fraud Continues to Harm Older Investors
June 2, 2011 @ 2:14 pm
    The Illinois Securities Department has revoked the registration of Thomas N. Cooper and Susan B. Cooper of Senior Financial Strategies Inc., doing business as Pinnacle Investment Advisors, The Illinois Securities Department has revoked the registration of Thomas N. Cooper and Susan B. Cooper for wrongfully liquidating customer annuities to fund the purchase of fixed indexed annuities. The Illinois Securities Department’s investigation uncovered that between Feb. 26, 2008,...
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Investment Literature
Reading between the Lies: How to detect fraud and avoid becoming a victim of Wall Street's next scandal.

Reading between the Lies: How to detect fraud and avoid becoming a victim of Wall Street's next scandal.
What Every Investor Needs to Know About Accounting Fraud

What Every Investor Needs to Know About Accounting Fraud

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