SEC Monitor Installed at GPB Capital Holdings

The SEC recently requested an emergency court action that would impose an outside monitor to oversee the private-equity firm GPB Capital Holdings LLC after years of accusations and litigation. The emergency court action followed months of trying to place a monitor, only to fail to reach an agreement with the firm voluntarily. However, in [...]

2021-02-19T16:10:43-06:00February 19th, 2021|GPB Capital, Investor Law, Stockbroker Negligence|

DRIP Plans Are Not For Everyone

Dividend Reinvestment Plans (DRIPs or DRIP plans) are popular products for investors who wish to take advantage of compounded dividends, often (but not always) low fees, and easy-to-execute investing. This is how it works: DRIPs are offered either through brokers or directly from the dividend-paying company. When a dividend is distributed, it is automatically [...]

2020-06-04T17:45:46-05:00June 15th, 2020|Investor Law, Stockbroker Negligence|

Lost Money in the Stock Market? Don’t Wait to Seek Compensation

When you’ve suffered investment losses due to a sudden market downturn or an asset that fails spectacularly, it is natural to feel like you need time to figure things out. You might hesitate because you feel like it’s your fault – because you didn’t understand the investment well enough, or that you should have [...]

2020-06-04T17:36:21-05:00June 12th, 2020|Investor Law, Stockbroker Negligence|

Did You Lose Money in Leveraged Exchange-Traded Notes (ETNs)?

Leveraged Exchange-Traded Notes (ETNs) are complex financial products that do not own the assets they track. Banks purchase derivatives – often in the form of options – using borrowed money to increase returns by as much as two or three times. If an asset increases in value, the investor will receive two or three [...]

2020-06-04T17:28:33-05:00June 10th, 2020|Investor Law, Stockbroker Negligence|

Leveraged Exchange-Traded Notes (ETNs): Bad For Retail Investors

After the 2008 financial crisis, many investors began looking for investment opportunities that would allow them to “catch up” on losses suffered in retirement plans. With interest rates at historic lows, traditionally “safe” investments such as bonds offered little income. Banks and brokerages began to expand and advertise Exchange-Traded Notes (ETNs) as lucrative, steady [...]

2020-06-04T17:26:28-05:00June 8th, 2020|Investor Law, Stockbroker Negligence|

Did you Lose Money in Allianz Structured Alpha?

Allianz Global Investors (AGI), an investing arm of the large German insurance company Allianz SE, announced on March 25 that two of its hedge funds, managing nearly $2.3 billion, would be liquidated. The hedge funds - Structured Alpha 1000 and Structured Alpha 1000 Plus – took unexpected heavy losses in March 2020’s coronavirus stock market [...]

2020-06-04T17:11:54-05:00June 4th, 2020|Investor Law, Stockbroker Negligence|

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|
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