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Our experts frequently write blog posts about the findings of the research we are conducting.

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Puerto Rico Municipal Bond Returns and Sunspots

(Apr 2017)

Introduction

Economists use a statistical procedure called regression analysis to determine whether there is a relationship between economic variables. For example, a labor economist might use regression analysis to determine whether there is a relationship between salaries and education after controlling for differences in job tenure and geographic region. An antitrust economist might use regression analysis to determine whether an attempted collusion in the airline industry effected prices...

Non-Traded REIT Conflicts Run Amok: VRM I, VRM II and MVP, MVP II

(Apr 2017)

Introduction

SLCG has written extensively about pervasive conflicts of interest in non-traded REITs arising because a non-traded REIT's sponsor, advisor, selling agents, and major suppliers are often affiliated entities that benefit more from creating the non-traded REIT than from running the REIT profitably. See our blog posts on REITs. SLCG economists have also published peer-reviewed articles on non-traded REITs, including An Empirical Analysis of Non-Traded REITsⁱ.

A collection of...

Extreme (Expungement) Makeover: Is Scrubbing a 30-Year Record Really Legal?

(Feb 2017)

We have written extensively about problems with FINRA's BrokerCheck system. See our blog posts on BrokerCheck.

Others have written about expungement abuses. For example, see Susan Antilla's "The Unbelievable Story of One Broker and Her Firm Fighting to Clean Her Tarnished Record".

Two weeks ago a FINRA panel rendered an extraordinary expungement award, recommending expungement of 8 awards and 3 settlements. The award in Joseph Anthony La Ferla, Jr. vs. UBS Financial Services Inc. can be viewed...

Are Employee Retirement Checks in Puerto Rico About to Stop?

(Jan 2017)

Yesterday a Joint Stipulation and Order was entered into between investors in Employee Retirement System (ERS) bonds issued in 2008 and the Governor, the Secretary of the Treasury, the Director of the Commonwealth's OMB and the ERS. The Joint Stipulation and Order and the Order Approving Stipulation, Setting Aside Hearing and Dismissing Case are available on our website.

We have written extensively about the ERS bonds. You can find more information in our blog posts on the conflicted ERS bond...

UBS Puerto Rico's COFINA Conflicts Were Even Worse Than ERS Conflicts

(Oct 2016)

We have written extensively about the wreckage caused by UBS's business model in Puerto Rico. See "UBS Puerto Rico's Bond Fund Debacle: What We Know so Far" and "Lo que Sabemos hasta Ahora de la Debacle de los Fondos de Bonos UBS Puerto Rico". All our Puerto Rico posts are available in English and in Spanish.

UBS's Farm-to-Table business model included encouraging the Employee Retirement System ("ERS") and other entities in Puerto Rico to issue bonds when no viable market except for UBS's...

This is why UBS paid the SEC $15 Million over Reverse Convertible Structured Products

(Sep 2016)

The Securities and Exchange Commission today announced a $15 million settlement with UBS over structured products linked to high volatility stocks today. The SEC press release announcing the settlement and its Order Instituting Proceedings are available on the SEC website. This post explains the underlying notes and why UBS may have paid the SEC a substantial settlement over sales practices related to UBS's reverse convertible notes ("RCNs").

UBS sold thousands of structured notes to retail...

Another Bad Broker Falsifying his BrokerCheck

(Jul 2016)

Recently we posted about two brokers who had not disclosed that customer complaints had been adjudicated to arbitration awards in favor of the clients but rather continued to report them as pending up to 15 months after the arbitration award was rendered (Bad Brokers Falsify Their BrokerCheck Records and No One Notices) and showed that FINRA corrected these two brokers' BrokerCheck records (Bad Brokers' Incorrect Records Got Partially Corrected Last Week). Last week we identified a few more...

Things Go From Bad to Worse for BrokerCheck

(Jul 2016)

Last week we posted about two brokers who had not disclosed that customer complaints had been adjudicated to arbitration awards in favor of the clients but rather continued to report them as pending up to 15 months after the arbitration award was rendered. See Bad Brokers Falsify Their BrokerCheck Records and No One Notices. Two days ago we showed that FINRA corrected these two brokers' BrokerCheck records in Bad Brokers' Incorrect Records Got Partially Corrected Last Week. We'll let you...

Bad Brokers' Incorrect Records Got Partially Corrected Last Week

(Jul 2016)

We wrote that FINRA's BrokerCheck allowed brokers to report cases adversely resolved as "pending" last week, in Bad Brokers Falsify Their BrokerCheck Records and No One Notices.

We provided two examples. The first included a large award in FINRA's awards database that had not been correctly reported as adversely resolved on the broker's BrokerCheck but had been correctly reported on her employer's BrokerCheck. Our second example, was of two adversely resolved filings against another broker....

This is Why Merrill Lynch Paid the SEC and FINRA $15 million over Bank of America's VOL Index-linked Structured Products.

(Jun 2016)

The Securities and Exchange Commission yesterday announced a settlement with Merrill Lynch over structured products linked to Bank of America's proprietary investable volatility index based on VIX Future contracts ("VOL Index"). The SEC press release announcing the settlement and its Order Instituting Proceedings are available on the SEC website. The companion FINRA settlement press releaseand AWC are available on the FINRA website. Bank of America published its VOL Index in 2010 and shortly...

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