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State of Georgia Investigating Sales of Reverse Convertible Notes

July 21, 2011 by jordan

It has been reported that the Secretary of State of Georgia, who regulates stockbrokers, is investigating whether securities laws were violated by the sale of reverse convertible notes to Georgia investors. According to a July 21, 2011 report in Bloomberg, the Secretary has issued subpoenas to UBS AG, Morgan Stanley, and Ameriprise Financial Inc. in order […]

Filed Under: Blog Tagged With: Ameriprise Financial, FINRA, Morgan Stanley, Reverse Convertible Notes, SEC, Securities Arbitration Attorney, UBS

Reverse Convertible Notes

April 5, 2011 by jordan

Reverse convertible notes are short-term bonds peddled to investors by Wall Street firms. Throughout their term, they pay comparatively high interest rates, but whether they pay back the investor’s principal is the big question. The reason for that question is because a reverse convertible’s principal repayment is linked to the performance of a specific stock […]

Filed Under: Investment Products Tagged With: Investment Fraud Attorney, Reverse Convertible Notes, Securities Arbitration Attorney, Securities Law Firm, Securities Lawyers, Stock Fraud Attorney

Reverse Convertible Notes Sold By Brokers Under Regulatory Investigation

March 31, 2011 by jordan

According to Bloomberg, the SEC is investigating to see if investors were defrauded into buying complex bonds known as reverse convertible notes. Reverse convertibles are securities that promise to pay investors a comparatively high fixed rate of interest and repay the investor’s principal , unless a stock to which the product is linked falls below […]

Filed Under: Blog Tagged With: Citigroup, FINRA, JP Morgan, Lehman Brothers, Reverse Convertible Notes, SEC, Securities Fraud Lawyer, Wachovia

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