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On December 7, 2018, the Financial Industry Regulatory Authority (“FINRA”) issued a comprehensive report (“Report on FINRA Examination Findings”) which “focuses on selected observations from recent examinations that FINRA considers worth highlighting because of their potential significance, frequency, and impact on investors and the markets.” This report serves as an essential resource for both investors […]
On December 7, 2018, the Financial Industry Regulatory Authority (“FINRA”) issued a comprehensive report (“Report on FINRA Examination Findings”) which “focuses on selected observations from recent examinations that FINRA considers worth highlighting because of their potential significance, frequency, and impact on investors and the markets.” This report provides a detailed analysis of various financial products, […]
On November 26, 2018, in an editorial in the New York Times (“When Blue Chip Companies Pile on Debt, it’s Time to Worry”), it was noted that “fueled by cheap credit, American corporations have been gorging on acquisitions.” This raises important questions about the future of Corporate Debt. The increasing reliance on borrowed capital reflects […]
Main street investors who have purchased FANG or other technology-related structured notes face a stark reality check. These investments, once seen as safe havens, are now proving to be fraught with risks that many were unprepared to handle. A deeper understanding of the mechanics behind structured notes, including their benefits and pitfalls, can help investors […]
Stocks veered into deep early losses Tuesday, as leading tech stocks and FANG plummeted, contributing to a significant downturn in market sentiment. Investors are increasingly concerned about rising interest rates and inflation, which have created a volatile environment. The Dow Jones industrial average cut deep below the 25,000 mark, reflecting investor anxiety and uncertainty about […]