Reuters, May 7, 2018 - "FINRA arbitration claims surge on Puerto Rico bond losses, worsened by Hurricane Maria"By Richard Satran of Thomson Reuters Regulatory Intelligence.
Arbitration claims filed with the Financial Industry Regulatory Authority have surged from customers who lost money in the fiscal crisis that hit Puerto Rico debt...[read more]
The Wall Street Journal, March 22, 2017 - "What You Won't Learn From One Wall Street Watchdog Report"
Heather Gillers' "What You Won't Learn From One Wall Street Watchdog Report"
Wall Street Journal story reports on a problem SLCG identified, illustrated by recent arbitration filings in Puerto Rico. Her article cites SLCG's...[read more]
Market Watch, January 19, 2017, "Opinion: Borrowing its way out of trouble, Puerto Rico sinks"
Market Watch's "Opinion: Borrowing its way out of trouble, Puerto Rico sinks,"
by Elliot Blair Smith highlights the causes of the Puerto Rico's financial debacle. The Article quotes Craig McCann
on UBS's investing of their own...[read more]
Kiplinger, January 1, 2017, "Beware Pitches for High-Yielding CDs"
Kiplinger's "Beware Pitches for High-Yielding CDs"
by Eleanor Laise reports on CDs promising high yields or capturing market upside, but many of these safe-sounding investments are loaded with risk. The article quotes Craig McCann
Bloomberg|Quint, December 9, 2016, "Deutsche Bank May Have Rigged Index in Paschi Deal, Audit Shows"
Bloomberg's "Deutsche Bank May Have Rigged Index in Paschi Deal, Audit Shows"
reports on a Deutsche Bank internal audit report showing banker abuse of benchmarks, amid accusations of a widespread effort to rig rates for financial...[read more]
Financial Times, July 29, 2016, "Fears grow over Wall St's appetite for securities-based lending"
The Financial Times continues to cover the substantial increase in securities-based lending to customers of broker-dealers. Lending has become the primary focus of sales and marketing efforts at retail wirehouses like Merrill...[read more]
AdvisorHub, June 20, 2016 - "Spy Novelist Who Claimed Deception by Morgan Stanley Wins $3.6 Million"
Mason Braswell's "Spy Novelist Who Claimed Deception by Morgan Stanley Wins $3.6 Million"
reports on the financial harm an investor incurred when his broker overstated the value of his investments over a three-year period. Dr....[read more]
FinancialPlanning.com June 8, 2016 "Commissions exposed, adviser stops selling nontraded REITs"
Ann Marsh's "Commissions exposed, adviser stops selling nontraded REITs" in FinancialPlanning.com available here
discusses SLCG's non-traded REIT research. The article illustrates how disclosing commissions and their impact on the...[read more]