Our experts frequently write blog posts about the findings of the research we are conducting.
FINRA Issues Sanctions on Sellers of Leveraged and Inverse ETFs
SPIVA Scorecard Year-End 2011
Dishonest Sales of LEFTs by RBC Capital Markets
FINRA Press Release: Inverse Floating Rate CMOs
"it has fined HSBC Securities (USA) Inc. $375,000 for recommending unsuitable sales of inverse floating rate Collateralized Mortgage Obligations (CMOs) to retail customers. HSBC failed to adequately supervise the suitability of the CMO sales and fully explain the...