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Jan 24, 2017

FINRA January 2017 Disciplinary Actions

By |January 24th, 2017|Alabama, Bonds, Broker Check, Churning, Conflict of Interest, Conspiracy, Failure To Supervise, Fiduciary Duties, FINRA, FINRA News, Fraud, Georgia, Hedge, Bond & Mutual Funds, Legal Matters, Master Limited Partnership, Misappropriated Funds, Misrepresentation and Fraud, Non Traded Real Estate Investment Trust, Ponzi Scheme, Press Releases & News, Private Placements, Pump-And-Dump, REIT, SEC, Securities Law Violations, Selling Away, Suitability, Variable Annuity|

FINRA takes disciplinary actions against firms and individuals for violations of FINRA rules; federal securities laws, rules, and regulations; and the rules of the Municipal Securities Rulemaking Board. Below are a number of penalties announced by the regulator in January 2017. If you have been a victim of any of the below behavior, you may [...]

Mar 14, 2016

Morgan Stanley Subject Of Arbitration Filed By NC Couple

By |March 14th, 2016|Failure To Disclose, Fiduciary Duties, FINRA, FINRA News, Fraud, Master Limited Partnership, Misrepresentation and Fraud, Press Releases & News, Securities Arbitration, Securities Law Violations, Suitability|

Two North Carolina investors have filed an arbitration claim with FINRA against Morgan Stanley  over unsuitable investments involving the firm’s Cushing MLP High Income Exchange Traded Note. The married couple, who are retirees in their sixties, are accusing the brokerage firm of common law fraud, negligence, breach of fiduciary duty, negligent supervision, and failure to [...]

Mar 7, 2016

Frankowski Firm Investigating Raymond James MLP Recommendations

By |March 7th, 2016|Master Limited Partnership, Oil / Gas Investments, Press Releases & News, Suitability|

The Frankowski Firm, LLC is investigating Raymond James' potentially inappropriate recommendations of oil and gas and commodities related investments. Investors may have legal recourse because of unsuitable recommendations by their broker to invest in this speculative and volatile area. Raymond James has served as an underwriter for many master limited partnership (MLP) deals, and their [...]

Jan 27, 2016

Worst May Be Yet To Come For Energy MLPs

By |January 27th, 2016|Master Limited Partnership, Oil / Gas Investments, Press Releases & News|

Investors in energy-focused master limited partnerships could be understood crying for mercy. The sector rebounded late last week, but the midstream benchmark Alerian MLP index is still down a brutal 16% in January, and 46% for the past year. The problem here, as with global markets, is falling crude-oil prices. In good times, MLPs do [...]

Jan 26, 2016

Rapid Price Decline Closes Two Leveraged MLP ETNs

By |January 26th, 2016|Master Limited Partnership, Oil / Gas Investments, Press Releases & News|

Declining oil prices have victimized two leveraged exchange traded notes ("ETNs") tracking master limited partnerships ("MLPs"). UBS Investment Bank announced the closing of ETRACS 2xMonthly Leveraged Long Alerian MLP Infrastructure Index ETN (NYSEArca: MLPL) and ETRACS 2x Monthly Leveraged S&P MLP Index (NYSEArca: MLPV). MLPV “will be mandatorily redeemed in accordance with the terms of [...]

Jan 25, 2016

Risks Associated With Investing In Master Limited Partnerships

By |January 25th, 2016|FINRA, Master Limited Partnership, Press Releases & News, Suitability|

Master limited partnerships ("MLPs") are complex investment vehicles that have become massively popular in the past few years during the low interest rate environment. A MLP is a publicly traded limited partnership with two types of partners: the general partner, who is responsible for managing the MLP and is compensated for performance, and the limited partner, [...]

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