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  • New Leveraged ETFs Hit The Market — Investors Beware

    Leveraged ETFs have recently returned to the news as Direxion announced the release of two new funds. As reported on Marketwatch.com, one of these new funds seeks to obtain returns equal to 300% of the two-year Treasury yield, while the other fund seeks to obtain returns equal to 300% of the inverse return of the […]

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  • Leveraged and Inverse ETFs May Not Be Suitable For All Investors

    ProFunds Group, one of the largest issuers of leveraged and inverse ETFs recently issued a warning that some of its leveraged and inverse ETFs may not be suitable for all investors. In the prospectus dated October 1, 2009, the company repeatedly states: The Fund is different from most exchangetraded funds in that it seeks leveraged […]

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  • SEC joins FINRA In Cautioning Investors About Risks of Leveraged ETFs

    From Investment Fraud Blawg, Securities Fraud Blawg, and Stockbroker Fraud Blawg: Earlier this week, the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) issued a joint warning cautioning investors on the dangers in investing in leveraged ETFs and inverse ETFs. The two regulators issued the warning because they “believe individual investors may […]

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  • Fidelity Cautions Investors on Leveraged ETFs?

    From Investment Fraud Blawg, Securities Fraud Blawg, and Stockbroker Fraud Blawg: On August 4, 2009, the Wall Street Journal reported that Fidelity Investments had joined other broker-dealers in warning its customers about the risks of investing in Leveraged ETFs (see other blawg posts on this topic here and here). The article, written by Daisy Maxey, […]

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  • More Broker Dealers Restrict Sales of Leveraged ETFs

    From Investment Fraud Blawg, Securities Fraud Blawg, and Stockbroker Fraud Blawg: Only weeks after Edward D. Jones, Ameriprise, Linsco Private Ledger (LPL) and UBS announced that they were restricting the sale of leveraged ETFs (see here), two more broker-dealers have decided to take action related to their sales of these risky, and often misunderstood investments. […]

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  • Firms Asked to Account for Sales of Leveraged ETFs

    From Investment Fraud Blawg, Securities Fraud Blawg, and Stockbroker Fraud Blawg: According to an article on InvestmentNews, Massachusetts securities regulators have subpoenaed four brokerage firms for information related to their sales practices of leveraged ETFs. The subpoenas come only a few weeks after Edward D. Jones, Ameriprise, Linsco Private Ledger (LPL) and UBS restricted the […]

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