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Securities

A Call for Systemic Impact

John Katovich | Posted 04.14.2016 | Impact
John Katovich

Foundations, Families and Funds can play a very important role in helping to redirect capitalism toward a more fair and just application, while also f...

Wealthier Investors Are an Essential Part of Community Capital Markets

John Katovich | Posted 03.21.2016 | Business
John Katovich

The Securities and Exchange Commission has recently estimated that approximately 10% of all U.S. Households are now in the "Accredited Investor" categ...

Why Community Capital Markets?

John Katovich | Posted 03.14.2016 | Business
John Katovich

Most people think of capital markets as what goes on in the national exchanges (e.g. New York Stock Exchange), but one of the oldest definitions of capital markets is "the efficient transfer of individuals' savings to companies for research, development, marketing, stability and growth."

Invest in Who You Know - Part 2: Spooky Reporting at a Distance

John Katovich | Posted 03.01.2016 | Business
John Katovich

Most people don't have the ability, flexibility or funds to invest like a professional, and a more common approach for 'investing in what you know' ta...

Fiduciary Rule: The Real Agenda

Dan Solin | Posted 07.07.2016 | Business
Dan Solin

There's a powerful agenda behind the opposition to the rule proposed by the U.S. Department of Labor (DOL) requiring that advisors to retirement plans be fiduciaries: The securities industry wants to preserve its ability to give conflicted advice. There's a lot at stake.

Marijuana Investments: Massive Growth or Massive Bubble?

Gregory Sichenzia | Posted 07.01.2016 | Business
Gregory Sichenzia

Some investors are wary of betting their chances on a product that the federal government still labels as a Schedule 1 substance. The disparate federal and state laws create an environment of uncertainty that make many investors rightfully nervous.

Halliburton Ruling Could Be A Big Win For Big Pharma, Wall Street

Reuters | Andrew Longstreth | Posted 07.01.2014 | Business

NEW YORK, June 12 (Reuters) - Within the next two weeks, the U.S. Supreme Court is expected to rule in a major case that could make it much harder for...

Report: Potentially Illegal Wall Street Practice Under Investigation

Reuters | Posted 05.25.2014 | Business

March 24 (Reuters) - The U.S. Securities and Exchange Commission has launched an investigation into the increasing number of complex bond deals on W...

Regulators Trim Portion Of Volcker Rule After Banks Complain

Reuters | Emily Stephenson | Posted 01.25.2014 | Business

WASHINGTON (Reuters) - Five U.S. bank regulatory agencies on Tuesday approved a tweak to the Volcker rule that would allow banks to keep interests in ...

Investing Lessons From Recent Events

Dan Solin | Posted 12.22.2013 | Business
Dan Solin

The S&P 500 is at an all-time high. It's up almost 8.5 percent since it closed April 30. I wonder how many investors achieved anything close to that increase in value in their personal holdings. Here are some lessons you can learn from these recent events.

Better Late Than Never: DTC to Propose Fair Procedures to Lift DTC Chills

Gary Emmanuel | Posted 12.10.2013 | Business
Gary Emmanuel

If you're not a securities professional, chances are you've never heard of the DTC. While the three-letter acronym, DTC, can easily be mistaken for th...

Red Lines

Michael Farr | Posted 09.06.2013 | Business
Michael Farr

The sharp drop in new home sales, weak spending in July, and negative guidance from retailers suggest to us that the recent rise in borrowing costs and energy prices may be starting to take a toll. Will the Fed take this data into consideration?

Are You Selling Securities?

Brad Reid | Posted 10.09.2013 | Business
Brad Reid

As new business models and technologies develop, the old definition of security frequently attaches.

Would You Invest in a Company That Contributes to Iran's Quest for a Nuclear Bomb?

Gary Emmanuel | Posted 06.03.2013 | Business
Gary Emmanuel

No longer is financial performance the only metric by which a company is to be measured. Relevant in the mix of information when making an investment decision is the extent to which a company exhibits social responsibility.

The Show Wall Street Doesn't Want You to See

Dan Solin | Posted 12.09.2012 | Business
Dan Solin

They regale us with their views, not just on what is happening in the market, but what is likely to happen. The stock picks of the fund managers have the same possibility of being correct as calling a coin flip. Their real agenda is to convince you to invest your money with them.

How JPMorgan Is Trying To Make Up For That Huge Trading Loss

Reuters | Posted 07.29.2012 | Business

(Repeating item with no changes to headline or text) * JPMorgan sold estimated $25 billion in securities * Sales to prop...

Missing MF Global Customer Founds All Accounted For

The Huffington Post | Harry Bradford | Posted 04.25.2012 | Business

Jon Corzine might not know where the money is, but somebody certainly does. James Giddens, the trustee overseeing MF Global's liquidation, told th...

Families That Cheat Investors Together, Stay Together

Dan Solin | Posted 06.24.2012 | Business
Dan Solin

Outright theft of your assets has now become a family affair. The SEC recently announced two cases where investors lost millions of dollars to family scammers.

Goldman Settles Over Charges That It Allowed Insider Tips To Reach Clients

Reuters | Posted 06.12.2012 | Business

WASHINGTON, April 12 (Reuters) - U.S. securities regulators said on Thursday that Goldman Sachs Group Inc will pay $22 million to settle civil charg...

Startup Bill Derailed In Wake Of SEC Warnings

Reuters | Posted 05.16.2012 | Small Business

(By David Lawder and Sarah N. Lynch - Reuters) - U.S. Senate Democrats rebranded a bill aimed at job growth as a threat to investor protections on Thu...

Why Angry Investors May Be Getting Angrier

Reuters | Posted 05.13.2012 | Business

* Lowest settlement totals in a decade - Cornerstone * Pickup in SEC enforcement may spur more payouts By Jonathan Stemp...

BofA Arm Loses Big In Customer Lawsuit

Reuters | Posted 04.02.2012 | Business

(Adds details) By Suzanne Barlyn Feb 1 - Bank of America Corp's Merrill Lynch unit must pay nearly $1.4 million in dama...

At Citi, 'Disappointing And Unacceptable' Revenue May Mean More Layoffs

Reuters | Posted 03.26.2012 | Business

Jan 25 (Reuters) - Citigroup Inc said it may make further cuts in its securities and banking unit in 2012 if revenue does not pick up meaningfully, ...

Firm That Extracted Billions From BofA Sets Its Sights On JPMorgan

Posted 12.16.2011 | Business

A law firm that led mortgage bondholders to extract a $8.5 billion settlement from Bank of America Corp is turning its sights on JPMorgan Chase & Co. ...

House Passes First Crowdfunding Legislation

Jeff Steele | Posted 02.08.2012 | Entertainment
Jeff Steele

The U.S. House overwhelmingly passed its first significant crowdfunding legislation, in the form of H.R. 2930, the Entrepreneur Access to Capital Act....