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Investor Alerts

SEC-FINRA Investor Alert on Leveraged and Inverse ETFs

08/18/2009

The SEC staff and FINRA are issuing this Alert because we believe individual investors may be confused about the performance objectives of leveraged and inverse exchange-traded funds (ETFs). Read more

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Information for Stanford Investors

03/12/2009

On March 12, 2009, U.S. District Court Judge David C. Godbey issued an order at the request of Stanford court-appointed receiver Ralph S. Janvey unfreezing approximately 16,000 Stanford investor accounts at Pershing LLC and J.P. Morgan Clearing Corp., unless an exception described in the order applies.Read more