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Investment Advisors Scrutinized for Pushing USO ETF

April 2020 - Exchange-Traded Funds (ETF)s are popular investment products that allow consumers to invest in a basket of stocks that capture certain markets or industries. When purchased knowledgeably, they can help investors diversify their portfolios or buy into an industry they believe in. ETFs also create risk by making it more difficult to see [...]

2020-04-30T10:48:44-05:00April 30th, 2020|Investor Law, Stockbroker Negligence|

Did You Lose Money in Oil Investments?

April, 2020 – In the midst of the coronavirus pandemic and on top of historic stock losses, investors were hit with another record-breaking “first”: West Texas Intermediate (WTI) crude futures went negative. For the lay person not familiar with the oil futures market, this probably makes little sense. Here’s an analogy to help: Imagine you [...]

2020-04-30T10:49:39-05:00April 30th, 2020|Investor Law, Stockbroker Negligence|

Have You Lost Money in a Real Estate Investment Trust (REIT)?

Real Estate Investment Trusts (REITs) are investment vehicles that hold income-generating properties. Investors earn dividends from the properties without having to own them individually. Some REITs specialize in specific market sectors – such as office buildings or hotels -  while others are more diverse. REITs have been heavily promoted by investment advisors and stockbrokers in [...]

Stocks Suffer Historic Losses

Investors and money managers opened 2020 with optimism: U.S./China trade talks seemed to be making progress Interest rates were steady An 11-year bull market rolled along Then a previously unknown virus – eventually named SARS-CoV-2 – jumped to humans and the Covid-19 pandemic brought the world economy to a standstill in, literally, a matter of [...]

2020-04-13T12:12:24-05:00April 14th, 2020|Retirement Investing, Stockbroker Negligence|

Stockbroker Negligence – Failure to Warn

Your stockbroker and brokerage firm have a responsibility to make recommendations and purchases that fit your financial circumstances and risk profile. By extension, they are obligated to let you know if your investments are riskier than can be reasonably expected. This might mean discussing in detail high risk products – such as Leveraged ETFs – [...]

2020-03-27T14:56:24-05:00April 10th, 2020|Investor Law, Retirement Investing|

Leveraged ETFs

What Are Leveraged ETFs? Exchange-Traded Funds (ETFs) are securities that contain a basket of stocks from an index such the S&P 500. Leveraging is an investing strategy that uses financial products and debt to increase the impact of pricing changes. A leveraged ETF (LETF), then, is a product that uses leveraging to magnify the pricing [...]

2020-03-27T14:38:32-05:00April 6th, 2020|Investor Law, Retirement Investing|

Investment Overconcentration (Failure to Diversify)

What is Overconcentration? Overconcentration refers to the risky practice of investing large percentages of your portfolio in one security, one sector of the economy, or one type of investment. Your grandmother might have called it “putting all your eggs in one basket.” Unless you can afford to play with extreme high risk, most financial experts [...]

2020-03-27T14:10:09-05:00March 31st, 2020|Investor Law, Retirement Investing|

Improper Asset Allocation

What is Asset allocation? If you are investing for retirement, then your age and the age you want to retire play a large role in how your investments should be allocated. As you near retirement, your portfolio should shift from riskier equities, like stocks, to safer investments that you can use when you need them. [...]

2020-03-27T13:50:08-05:00March 27th, 2020|Investor Law, Retirement Investing|

Annuities Might Become More Common in 401(k) Savings Plans

In an effort to encourage Americans to save more for retirement, Congress passed the Setting Every Community Up for Retirement Enhancement, or Secure, Act on December 19. The legislation contains the most significant changes to retirement savings system in more than a decade and hopes to address the 41% of Americans who are at [...]

2019-12-24T15:04:44-06:00December 24th, 2019|Investor Law, News, Retirement Investing|

KCM Sanctioned for Willful Violations – A Timeline

Kornitzer Capital Management (KCM) and its CEO, John Kornitzer, were sanctioned by the SEC on Dec 10 for failing to reduce high concentrations in securities of a single company held by four funds managed by KCM. The following timeline illustrates the severity of the mismanagement: John Kornitzer, portfolio manager at the time for [...]

2019-12-11T16:07:34-06:00December 11th, 2019|Investor Law, KCM - Kornitzer Capital Management|