Archive for Category: "Securities Law"


Buyer Beware: Reverse Convertible Notes

The Securities and Exchange Commission has commenced an investigation of reverse convertible notes.  Reverse convertible notes are a financial product that pays interest but is also tied to the performance of an underlying stock.  The notes pay a fixed interest rate and guarantees a return of the investor’s initial investment after a specified period of time unless the underlying stock price falls below a certain trigger price.  If the trigger price is reached, then there may not be a guaranteed return of [&hellip

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What investors and advisors should know

Welcome to my securities law blog. As an experienced securities litigation attorney and former financial advisor, I am writing to educate and provide information to investors, financial advisors, and others about the financial services industry.

The blog provides information on investment advisory services and their regulation. In my posts, I will cover three main areas

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