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February 7, 2012
Alzheimer's Clients can Pose Legal Risks to Financial Advisers

In a February 4th., 2012, article by Andew Osterland in, he writes that it's not an easy conversation to have, but financial advisers need to talk to their clients about Alzheimer's disease and other forms of dementia and the impact it can have on their financial circumstances. “The first conversation is difficult, but after […]

February 7, 2012
Florida Rep Fined and Suspended by FINRA

The following information was obtained on FINRA's website's "January, 2012, Disciplinary Actions:"   Jason Christopher Dayton aka Jason Krupar (CRD #4504624, Registered Principal, Oviedo, Florida)   submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for 20 business days. The […]

February 7, 2012
Florida Rep Barred by FINRA

The following information was found on FINRA's website's "Disciplinary Actions, January 2012."   Richard Paul Counts (CRD #3241105, Registered Representative, Belleair, Florida)   submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with ny FINRA member in any capacity. Without admitting or denying the findings, Counts consented to the […]

January 26, 2012
FINRA Recommends Heightened Supervision of Complex Products

The following information is excerpts from the article on the FINRA website.  The fact that a product is “complex” indicates that it presents an additional risk to retail investors because its complexity adds a further dimension to the investment decision process beyond the fundamentals of market forces. This may be the case even though the complexity […]

January 25, 2012
Behringer Harvard Client Sees Fund Drop by 96%

In a January 24th., 2012 article for, Bruce Kelly writes that it's more bad news for Behringer Harvard Holdings LLC, as an investor who saw the value of her real estate fund drop to $2,000, from an original investment of $50,000, has begun to complain to regulators. On January 20th., 2012, D. Gayle Salyer wrote […]

January 25, 2012

Investors in the Behringer Harvard Short-Term Opportunity Fund I LP, which had about $130 million in total assets, saw its valuation drop to approximately .40 cents a share, down drastically from aproximately $6.48 a share.   Behringer Harvard still hasn’t explained what happened to wipe almost all of the fund's value.   The Securities and […]

January 22, 2012
Complex Investment Products to See More Scrutiny by Finra

In an article from January20,2012, Dan Jamieson writes that in a regulatory notice, Finra outlined characteristics of what it calls “complex products,” which could include structured notes, inverse or leveraged exchange-traded funds, hedge funds and securitized products such as asset-backed securities. Finra stated that brokerage firms should have formal written procedures covering everything from […]

January 20, 2012
Cerulli Study Finds Most Advisers Overstating their Expertise

In a January 19th., 2012, article for, Jeff Benjamin writes that when pressed, it seems financial intermediaries will tend to overstate their qualifications and services, according to Cerulli Associates Inc. “Most advisers don't want to say that they don't offer some kind of service, so they are more likely to overstate their capabilities,” said Scott […]

January 18, 2012
Did you Invest in Barclays' Exchange Traded Notes?

Exposure to the CBOE Volatility Index (VIX) has been available since 2004 in the form of futures, and since 2006 in the form of options, but recently new exchange-traded products have offered retail investors an easier way to gain exposure to this popular measure of market sentiment. The most successful of these products so far […]

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