On behalf of Lewitas Hyman PC | Jun 10, 2017 | Investment Loss
By: Lewitas Hyman PC Leveraged exchange traded funds (“ETFs”) were first introduced in 2006, and 3x Leveraged ETFs – designed to achieve 3x the performance of the underlying index or benchmark that a particular ETF tracks – were first introduced in November 2008 in...
On behalf of Lewitas Hyman PC | Feb 10, 2017 | Financial News, Investment Loss
The Securities and Exchange Commission (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) recently released its annual Examination Priorities. It focuses on practices, products, and services that present potentially heightened risk to investors and/or...
On behalf of Lewitas Hyman PC | Jan 30, 2016 | Financial News, Investment Loss
By: Lewitas Hyman PC On Wednesday, at the annual Securities Regulation Institute conference in Coronado, California, Securities and Exchange Commission Chair Mary Jo White shared the agency’s growing concern about the aggressive promotion of private tech startup...
On behalf of Lewitas Hyman PC | Apr 20, 2015 | Broker Misconduct, Financial Advisor Misconduct, Investment Loss
FINRA and the SEC’s Office of Compliance Inspections and Examinations (OCIE) (collectively, the “Staff”) released the National Senior Investor Initiative (the “Report”) cautioning broker-dealers to reexamine their policies and procedures related to senior investors 65...
On behalf of Lewitas Hyman PC | Jun 20, 2014 | Financial News, Investment Loss
This month, the SEC issued an Investor Alert relating to fraudulent newsletters. The SEC warned the investing public to be wary of fraudulent newsletters and advised investors to investigate newsletters by reading them carefully in regards to compensation and to...
