Articles Posted in Investment Terms and Concepts

High Yield – Junk Bond Investment Loss – Florida Litigation and FINRA Arbitration Attorney: A High Yield or Junk Bond is a bond with a credit rating of BB or lower by a recognized rating agency such as Fitch Ratings, Moody’s Investors Services, Morningstar Rating System and others. Although the term Junk Bond is commonly…

Short-Term Bond and Common Stock Investment Loss – South Florida FINRA Arbitration and Litigation Attorney: A Short-Term Bond Fund is a bond mutual fund which invests in short-to-intermediate term bonds. Such bonds typically mature in 3 to 5 years and pay higher yields than the shortest maturity bonds of 1 year or less, which are…

FAQ About Option Prices – Option Investment Loss FINRA Arbitration and Litigation Attorney: The option price is the market price at which an option contract is trading at any given time. The price of an option on a stock reflects the fact that it covers 100 shares of the common stock. For example, an option…

Form U4 – Uniform Application for Securities Industry Registration or Transfer – South Florida Broker/Dealer and Account Executive Alert. The Form U4 is the Uniform Application for Securities Industry Registration or Transfer. Representatives of broker-dealers, investment advisers, or issuers of securities must use the Form U4 to become registered in the appropriate jurisdictions and with…

Corporate and Municipal Bond, Florida Investment Loss FINRA Arbitration and Commercial Litigation Attorney, Russell L. Forkey, Esq. A High-Yield Bond can be issued by a private or public company, as well as various municipalities and other governmental units. Many of these High-Yield Bonds are also known as Junk Bonds. These types of bonds usually have…

Program Trading – Boca Raton, West Palm Beach, Hollywood and Fort Lauderdale, Florida Investment Loss – FINRA Arbitration and Litigation Attorney: Program Trading is a computer-driven buying (buy program) or selling (sell program) of baskets of stocks by index arbitrage specialists of institutional traders. “Program” refers to computer programs that constantly monitor stock, futures, and…

Taxable Municipal Bond – South Florida Bond Investment Fraud, Mismanagement and Misrepresentation, FINRA Arbitration and Litigation Attorney: A taxable municipal bond is a taxable debt obligation of a state or local governmental entity. Taxable municipal bond are issued as private purpose bonds to finance such projects as a sports stadium, as municipal revenue bonds where…

Municipal, Corporate and Revenue Bond – South Florida Breach of Fiduciary Duty, Breach of Contract and Negligence FINRA Arbitration and Litigation Attorney: A premium bond is a bond (Corporate, Revenue and Municipal) with a selling price above face or redemption value. For example, a bond with a face value of $1,000 would be called a…

Preliminary Prospectus, Preliminary Offering Document, Preliminary Official Statement – South Florida Fraud, Misrepresentation and Omission FINRA Arbitration and Litigation Attorney: A preliminary prospectus also known as a “red herring” is the first document released by an underwriter of a new issue to prospective investors. The document offers financial details and other information about the issue…

Put and Call Option Premium Income – South Florida Option Abuse, Excessive Activity, Breach of Fiduciary Duty, Negligent Supervision FINRA Arbitration and Litigation Attorney: Option premium income is income received by an investor who sells a put option or call option. An investor collects premium income by writing a covered option, if the investor owns…