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Margin Accounts Danger Highlighted By Recent Market Volatility

In an Investor Alert that was issued on November 8, 2018 (“Know What Triggers a Margin Call”), the Financial Industry Regulatory Authority (“FINRA”) warned investors that “volatility is back, and market swings can sometimes bring an uncomfortable surprise to investors – a margin call.” When an investor purchases stock on margin, the investor’s brokerage firm […]

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Recent Fall in Oil Prices May Preview an Energy Bear Market

With the recent plummeting of oil prices, the $64,000 question is asked again-is it a greater supply or a weakening of demand that has caused lower oil prices. As always, there are views to support both sides and most likely is a combination of an increase in supply and a diminish of demand. There are […]

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FANG Leads the Markets Lower, $2 Trillion Lost by Stock Markets In October

October ended as one of the worst months since the 2008 financial crisis.  The S&P 500 lost $1.91 trillion in October. Losses were spread widely across industry sectors. October was the worst month for the S&P 500 since September 2011. Federal Reserve Chairman Jerome Powell said the central bank is “a long way” from neutral […]

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GPB Capital under investigation by Massachusetts Securities Division

William Galvin, the Massachusetts secretary of state, has initiated a probe into the activities of broker-dealer firms who sold private placements sponsored by GPB Capital Holdings, according recently pubished news reports.  The Massachusetts Securities Division has reportedly received information regarding the sales practice of a certain firm, and has requested information from a total of […]

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Auto-Callable Structured Products – the Wall Street House Always Seems to Win

The Wall Street Journal, on September 12, 2018 (“FANG Stock Play Can Fall Short”), noted that investors looking to reap the gains of highflying technology stocks while avoiding risk – through the purchase of “auto-callable” structured note products – are finding they can’t do both. These structured notes “are often sold to mom-and-pop investors seeking […]

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