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‘Twas the night before Christmas and rather than St. Nick and sugar plumbs, we got Treasury Secretary Steven Mnuchin and lumps of coal. The Dow dropped a whopping 3 % on Christmas Eve. It hasn’t done that since – ahem – 1918! Following the bruising stock selloff, which erased more than 650 points from the Dow, …
Aside from the tensions surrounding the U.S. – China trade war and the recent arrest of a top executive of Huawei Technologies, investors may have a far more ominous issue to contend with in investing in Chinese businesses. U.S. regulators are increasingly worried about getting their hands on the books of publicly traded Chinese companies …
No doubt that retail investors’ stomachs are churning from the stock market’s recent gyrations. Now, Mom and Pop investors may also be overcome with indigestion from the flagging corporate bonds in their portfolios. Moody’s Investors Service recently warned that an unprecedented number of corporate credit ratings could be thrown into the junk bond pile, according …
The stock market’s volatility continues to roil and slam retail investors’ portfolios. After last month’s ups and downs, the Dow continued its downward trajectory this week by dropping another 700 points. While many focus on such dramatic plunges, there is a more obscure, almost hidden problem in the financial system: public employee pension funds across …
Variable annuities have long been a retirement investment product which Wall Street pushed on Main Street customers to generate fees and commissions, commonly 6% of the amount invested. That means if a client buys a variable annuity from a broker for $100,000, the broker is paid a whopping commission of $6,000. When comparing those fees …
As an investor, you expect to deal with market fluctuations, and you understand that your portfolio will experience ups and downs over time. But, one thing you do not expect is to lose your life’s savings to broker or investment advisor fraud. Unfortunately, in today’s world this is a legitimate concern, and individual investors must …
As the stock market skids downward and sees increased volatility, investors should take a close look at their secured loan portfolios. All across Wall Street, securities-based lending is red hot, as The Motley Fool noted. And guess who the target is? You guessed it, Mom and Pop. Nearly a decade into a bull market, banks …
The Financial Industry Regulatory Authority (FINRA) is one of various authorities tasked with promoting transparency and investor safety within the retail investment industry. Specifically, among other roles, FINRA maintains a broker registration system under which all individual brokers and brokerage firms must register before offering their services to individual investors. All registered brokers and brokerage …
Many investment fraud scams involve fees and transaction costs that are designed to allow brokers and advisors to profit at their customers’ expense. But, in most cases, these fees and costs are disguised or limited in such a way that the relationship still seems worthwhile to individual investors. In one recent case, however, the Securities …
The market sell-off last week reminded investors that October can be spooky, and Halloween is still weeks away. From Wednesday to Friday, the S&P 500 hit fresh lows, dropping 5% in hours, with most stock averages down 4% after the rocking and rolling week. Remember, Wall Street traders are particularly nervous in October. Unprecedented drops in the …
Mr. Zamansky's securities law blog is closely read and monitored by regulators and influential financial reporters and has prompted several major news and feature stories.
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