Inverse Leveraged Exchange-Traded Funds (ETFs) Give Rise to Customer Losses

Stockbroker Law - Wednesday, September 18, 2013
Inverse Leveraged Exchange-Traded Funds (ETFs) Give Rise to Customer Losses

The Financial Industry Regulatory Authority issued several warnings to its members, including Regulatory Notice 09-31, Regulatory Notice 09-6 ..

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Hidden Costs Associated with Variable Universal Life (VUL) Insurance Policies

Stockbroker Law - Friday, May 10, 2013
Hidden Costs Associated with Variable Universal Life (VUL) Insurance Policies

The various costs associated with variable annuity policies includes surrender charges and fluctuating costs of insurance charges, all of which me ..

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Variable Universal Life Horror Stories

Stockbroker Law - Tuesday, May 07, 2013
Variable Universal Life Horror Stories

The replacement of paid-up whole life insurance policies by Variable Universal Life (VUL) insurance policies has seen many retirees lose a lifetim ..

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Insurance for Theft From Brokerage, Investment and Insurance-Type Accounts

Stockbroker Law - Monday, April 22, 2013
Insurance for Theft From Brokerage, Investment and Insurance-Type Accounts

The victims of Ponzi schemes and theft involving their financial accounts may be afforded protection offered by broker blanket bonds, fidelity bon ..

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FINRA Addresses Complex and Non-Traditional Investments

Stockbroker Law - Friday, April 19, 2013
FINRA Addresses Complex and Non-Traditional Investments

The past few years of unstable financial markets, while yielding fixed income products and declining interest rates, have seen an explosion of inv ..

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