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Articles tagged with: mutual funds

[23 Sep 2009 | No Comment | 2,644 views]
Securities Arbitration In the News – Could Arbitration Help You Recover Investment Losses?

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From SecuritiesArbitrationBlawg.com:
US News & World Report published an article today written by Rob Silverblatt. The article was entitled “Could Arbitration Help You Recover Investment Losses.” The author interviewed several attorneys who practice in the area (unfortunately, the author of this blog was not one of them) and discussed patterns and trends in securities arbitration filings. The article also noted the fact that concerns related to the arbitration process have caused politicians to push the Arbitration Fairness Act (AFA) through Congress. …

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[8 Aug 2009 | No Comment | 3,245 views]
Do You Understand the Fees Charged by Your Mutual Funds?  Probably Not.

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From Investment Fraud Blawg, Securities Fraud Blawg, and Stockbroker Fraud Blawg:
In a July 31, 2009 article, Sam Mamundi of Marketwatch.com discussed the hidden sales fees charged by mutual funds. As noted in the article, “[t]he majority of retail funds are sold through brokerages, and each brokerage firm levies a range of charges to the fund for every sale. The cost of these agreements is passed on to investors.” These charges come in a variety of forms, including “revenue sharing agreements” …

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[3 Aug 2009 | One Comment | 14,906 views]

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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 sale of the products or stopped selling leveraged ETFs altogether. This also comes approximately three weeks after FINRA advised firms that leveraged ETFs “typically are unsuitable …

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