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Our experts frequently write blog posts about the findings of the research we are conducting.

Displaying 21-29 out of 29 results for "ERS".

FINRA Press Release: Principal Protected Notes

(Apr 2011)

FINRA Fines UBS Financial Services $2.5 Million; Orders UBS to Pay Restitution of $8.25 Million for Omissions That Effectively Misled Investors in Sales of Lehman-Issued 100% Principal-Protection Notes

The Financial Industry Regulatory Authority (FINRA) issued a press release today announcing that

"it has fined UBS Financial Services, Inc., $2.5 million, and required UBS to pay $8.25 million in restitution for omissions and statements made that effectively misled some investors...

FINRA Press Release: Private Placements

(Apr 2011)

FINRA Sanctions Two Firms and Seven Individuals for Selling Private Placements Without Conducting a Reasonable Investigation

The Financial Industry Regulatory Authority (FINRA) issued a press release today announcing that

"it has sanctioned two firms and seven individuals for selling interests in private placements without conducting a reasonable investigation. The companies whose securities were sold in these private placements were unrelated to the firms and individuals FINRA...

SEC Press Release: Mortgage Backed Securities

(Apr 2011)

SEC Announces Securities Laws Violations by Wachovia Involving Mortgage-Backed Securities

The Securities and Exchange Commission (SEC) issued a press release today announcing that

"Wells Fargo Securities LLC [had] agreed to settle charges that Wachovia Capital Markets LLC engaged in misconduct in the sale of two collateralized debt obligations (CDOs) tied to the performance of residential mortgage-backed securities as the U.S. housing market was beginning to show signs of distress...

SEC Press Release: Hedge Fund Fraud

(Mar 2011)

SEC Charges Hedge Fund Managers with Fraud

The U.S. Securities and Exchange Commission (SEC) issued a press release today announcing that it had

"charged a hedge fund investment advisory firm and its two founders with orchestrating a multi-faceted scheme to defraud clients and failing to comply with fiduciary obligations."

The founders, Verzili and Rodriguez of Juno Mother Earth Asset Management LLC allegedly misappropriated client assets by using these assets for the fund's...

SLCG Research: Modeling Autocallable Structured Products

(Mar 2011)

SLCG released today 'Modeling Autocallable Structured Products'.

A callable structured product is a note that is callable by the issuer. The note is linked to an underlying asset, or 'reference asset.' If the reference asset reaches the call price during the term of the note, the note is called and note holder receives a pre-specified return. If the reference asset never reaches the call price during the term of the note, the note is never called and the note holder simple receives the...

SEC Press Release: Life Settlement Fund Fraud

(Mar 2011)

SEC Charges Former UBS Financial Adviser With Defrauding Life Settlement Fund Investors

The U.S. Securities and Exchange Commission (SEC) issued a press release today announcing that they

"charged a former financial adviser at UBS Financial Services LLC with misappropriating $3.3 million in a scheme that included bilking investors in a private investment fund he established."

Kobayashi of UBS, Walnut Creek office, California, established Life Settlement Partners LLC, a pooled...

FINRA Press Release: Improper Marketing

(Jan 2011)

FINRA Orders Schwab to Pay $18 Million to Investors for Improper Marketing of YieldPlus Bond Fund

The Financial Industry Regulatory Authority (FINRA) issued a press release today announcing that

"it has ordered Charles Schwab & Company, Inc., to pay $18 million into a Fair Fund to be established by the Securities and Exchange Commission (SEC) to repay investors in YieldPlus, an ultra short-term bond fund managed by Schwab's affiliate, Charles Schwab Investment Management. The $18...

SEC Press Release: Municipal Bond Fund

(Jan 2011)

SEC Charges Former Portfolio Managers With Defrauding Utah Municipal Bond Fund

The U.S. Securities and Exchange Commission (SEC) issued a press release today announcing that it had

"charged two former portfolio managers with defrauding a mutual fund that invests primarily in municipal bonds issued by the State of Utah and its county and local authorities."

Young and Albright - co-portfolio managers of the Tax Free Fund for Utah at the time - charged municipal bond issuers over...

SLCG Research: Futures-Based Commodity ETFs

(Jan 2011)

SLCG released today a new study about Futures-Based Commodity ETFs. In the past decade the price of commodities has increased substantially and many investors have wanted to diversify their portfolios by including commodities. The most common way to invest in commodities is by buying futures contracts, which requires a good understanding of the pricing of futures contract and specific features of the futures market.

In the past few years we have seen many firms offer Commodity Exchange...

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