Articles Posted in Investor Alerts

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…

The Securities and Exchange Commission Bars Alfred Clay Ludlum III Following His Injunction for Anti-Fraud Violations of the Securities Laws The Securities and Exchange Commission recently announced that it has barred Alfred Clay Ludlum III, a registered investment adviser and the founder, president, and sole control person of Printz Capital Management, LLC, Printz Financial Group,…

The Securities and Exchange Commission Obtains Final Judgments against Martin C. Hartmann III and Laura Ann Tordy The Securities and Exchange Commission recently announced that on July 9, 2013, the Honorable Denis R. Hurley of the United States District Court for the Eastern District of New York entered final judgments against defendants Martin C. Hartmann…

South Florida Securities and Precious Metals FINRA Arbitration and Litigation Attorney: Securities and Exchange Commission v. John Fowler, Jeffrey Fowler, and Julianne Chalmers, Civil Action No. 8:13-cv-1747-T-17TGW The Securities and Exchange Commission recently announced that it filed an enforcement action on July 5, 2013 against John Fowler, a convicted felon, Jeffrey Fowler, a former Florida…

Risks Associated With High-Yield Corporate Bonds. Florida High Yield Corporate Bond Fraud, Misrepresentation and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney. Some investors with a greater risk tolerance may find high-yield corporate bonds attractive, particularly in low interest rate environments. If you are considering buying a high-yield bond, it is important that you…

South Florida Corporate and Municipal Bond FINRA Arbitration and Litigation Attorney. Various Risks Associated With Corporate Bond: There are a number of risks associated with corporate bonds. The following list is not designed to be complete. However, this post does describe many of the more well known. Please keep in mind that this post is…

Key Words and Phrases Associated with Corporate Bonds: The basic financial terms of a corporate bond include its price, face value (also called par value), maturity, coupon rate, and yield to maturity. Yield to maturity is a widely used measure to compare bonds. This is the annual return on the bond if held to maturity…

Secured vs. Unsecured Corporate and Municipal Bonds – What happens if a company goes into bankruptcy? South Florida FINRA Arbitration and Litigation Attorney – You may be able to recover your investment losses. If a company defaults on its bonds and goes bankrupt, bondholders will have a claim on the company’s assets and cash flows.…

Basic characteristics of corporate and municipal bonds – South Florida FINRA Arbitration and Litigation Attorney – As an investor, you may be able to recover losses associated with your investment in corporate bonds. Corporate bonds make up one of the largest components of the U.S. bond market, which is considered the largest securities market in…

South Florida – FINRA Negligent Supervision FINRA Arbitration Attorney: Proposed Rule Change to Adopt the Consolidated FINRA Supervision Rules: Financial Industry Regulatory Authority, Inc. (“FINRA”) recently filed with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt the consolidated FINRA supervision rules. Specifically, the proposed rule change would (1) adopt…