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Financial Planning
September 1, 2005
Jacob Fine |
The Muni Market Thirty-year bonds are back after a four-year absence.   |
Financial Advisor
January 2005
Raymond Fazzi |
Flying Blind In The Bond Market Bond price reporting is improving, but many brokers still hide costs. |
The Motley Fool
December 12, 2006
Dan Caplinger |
Crime at the Bond Desk Players in the $2 trillion municipal bond market face investigations. This latest scandal provides a valuable reminder: As investors, you must always be aware of the potential for abuse. |
The Motley Fool
December 13, 2011
Evan Niu |
MBIA Shares Popped Then Gave It Back: What You Need to Know Shares of bond insurer MBIA popped this morning by 11%, but have given it all back and are sitting slightly in the red as of this writing, after it settled an ongoing suit with Morgan Stanley. |
The Motley Fool
April 13, 2010
Dan Caplinger |
The Tax-Smart Answer to Low Interest Rates Municipal bonds aren't risk-free, but they are attractive. |
Financial Planning
May 1, 2011
Chris Shayne |
Individual Choice Although it's been hard to compare the transaction costs of individual bonds and bond funds, new research is making it easier. Here's a way to see what it costs individual investors to purchase each type of fixed-income product. |
Financial Advisor
July 2004
Gail Liberman |
Muni Bond Funds Vs. Individual Bonds A new study says the funds are cheaper if you actively trade. |
The Motley Fool
August 30, 2007
Selena Maranjian |
A Better Way to Check Your Broker? A former SEC guy is aiming to help you steer clear of ne'er-do-wells. Meanwhile, make sure that the brokerage you're using is best for your needs. Odds are, you can find a better brokerage that charges you less or offers more services. |
Registered Rep.
May 9, 2007
Christina Mucciolo |
Morgan Stanley to pay $7.96 Million for Best Execution Fraud The SEC announced that Morgan Stanley will pay penalties to settle the charges against the firm for failing to provide best execution to clients. |
Registered Rep.
August 2, 2005
Kristen French |
Morgan Stanley Fined $6.1 Million for Fee-Based Brokerage Slip-Ups NASD's investigation showed that from January 2001 through December 2003, Morgan Stanley failed to establish and maintain a supervisory system to review and monitor its fee-based brokerage business. |
Registered Rep.
August 30, 2005
John Churchill |
Retaining Those Pesky Emails Morgan Stanley is in for what could be a $10 million fine from the SEC for failing to retain emails, according to a report. |
The Motley Fool
November 19, 2009
Dan Caplinger |
These Investments Are Far From Risk-Free Don't get seduced by bonds. |
The Motley Fool
March 7, 2005 |
Bonds and Interest Rates Bond prices move in strange ways -- learn why. |
The Motley Fool
March 25, 2011
Chuck Saletta |
It's OK to Plan for the Worst It just might help you wind up in a better spot in the long run for your retirement if you consider both stocks and bonds. |
Registered Rep.
November 12, 2003 |
Morgan Stanley Launches Conflict-of-Interest Probe Morgan Stanley has announced it is conducting an in-house conflict-of-interest probe. |
Registered Rep.
June 24, 2004
John Churchill |
Morgan Stanley Sued by New Hampshire Regulators New Hampshire securities regulators are suing Morgan Stanley, charging that in 2002 the firm encouraged its brokers to sell proprietary mutual funds by using sales contests, a violation of NASD rules. |
Registered Rep.
November 1, 2006
Bill Singer |
Secret Agreements with Clients Can Backfire Developing NASD enforcement trends: NASD Conduct Rule 2330: Customers' Securities or Funds... NASD Conduct Rule 2370: Borrowing From or Lending to Customers... etc. |
The Motley Fool
May 20, 2008
Dan Caplinger |
The Financial Earthquake That Never Happened The recent Supreme Court decision will help keep the municipal bond market intact. |
Financial Planning
December 17, 2007
Matthew Posner |
The Bond Buyer Shifts in the municipal marketplace have impacted participants in various ways, causing players to reassess their investment strategies going forward. |
Registered Rep.
December 4, 2002
Ross Tucker |
Data Overload Five brokerage firms were fined $8.25 million for record-keeping violations. |
Investment Advisor
September 2007 |
News & Products Morgan Stanley DW Inc. has been fined $1.5 million... Wells Fargo & Co.'s Wells Fargo Home Mortgage announced that it will close its nonprime wholesale lending business... etc. |
Registered Rep.
July 17, 2006
John Churchill |
Research Still a Problem, NASD Fines Three Firms Fines issued to Citigroup, Credit Suisse and Morgan Stanley are the result of the firms' failures to review and certify proper disclosure of price target valuation methods and risks, despite repeated warnings from NASD. |
BusinessWeek
May 12, 2011
Elizabeth Ody |
While Muni Fund Investors Flee, Others Pounce Fiscal crises in states and cities have prompted big withdrawals from muni-bond funds. Investors with more risk tolerance are being lured by yields near 4 percent. |
The Motley Fool
December 1, 2004
Tim Beyers |
Carnival of the Ignorant The NYSE faces down brokers who didn't provide basic information to thousands of IPO investors. But refunds? Sorry, folks, but when you invest, you take a risk. |
The Motley Fool
September 13, 2007
Dan Caplinger |
Make a Mint With Munis With falling yields elsewhere, municipal bonds look more attractive. Traditionally difficult to buy, it is now a little easier to purchase them with a new ETF, the iShares S&P National Municipal Bond Fund. |
Financial Planning
May 1, 2006
Stuart Bromberg |
The Muni Option Municipal bonds and bond funds are still reasonably cheap and offer tax-free ballast to diversify a portfolio. But when advising clients about municipal bonds, it's important to assess whether the investors could be subject to the alternative minimum tax. |
Financial Planning
May 1, 2006
Marianne Czernin |
Don't Let Simple Things Trip You Up! Financial professionals must take the time to make sure they understand what the various regulatory organizations require them to do before they actually do it. They shouldn't go it alone, or they could find themselves in the same situations as these reps. |
Registered Rep.
December 1, 2004
Mike Ruff |
From Safe to Stagnant If there's one thing to be learned from "all weather" investment strategies such as muni laddering, it's this: there is such a thing as too conservative. Therefore, advisors should make it clear to their clients that the safety offered comes at a steep price. |
Financial Advisor
June 2010
Michelle Knight |
Rising Rates Not Fatal Bond investments shouldn't automatically be sold off when interest rates rise. Here's why. |
The Motley Fool
January 25, 2010
Dan Caplinger |
Is California Dreamin'? Muni bonds are pricing in disaster. |
Financial Planning
December 1, 2005
Lynn Hume |
Ameriprise to Pay $1.25 Million Fine for 529 Sales In a first-of-a-kind enforcement action, the NASD ordered the former American Express Financial Advisors to pay $1.25 million for failing to adequately supervise its sales of Section 529 college savings plans. |
On Wall Street
November 1, 2008
J Gibson Watson |
Opportunities Stirring in the Municipal Market For now, munis are trading at tight premiums to Treasuries -- but don't assume that means they are risk-free |
Financial Advisor
September 2005
Marla Brill |
The Case For Municipal Bonds Improving municipal bond yields could ease investor fear of rising interest rates. |
Registered Rep.
July 1, 2005
Stan Luxenberg |
A Tough, but Smart Sell Plenty of clients detest bond mutual funds, but a bond fund can be less volatile than a small portfolio of individual bonds. The typical fund is broadly diversified and includes hundreds of names. |
The Motley Fool
October 12, 2006
Dan Caplinger |
The Risky Business of Mortgage-Backed Bonds Mortgage-backed securities can be attractive, but be aware of their risks. |
The Motley Fool
December 19, 2006
Dan Caplinger |
The Scoop on Savings Bonds A look at the history of bonds and why they're not so attractive anymore. |
The Motley Fool
April 30, 2009
Dan Caplinger |
Tools to Make You a Better Investor Brokers have been hurting, and you can take advantage. With brokers focusing on getting your business, you'll find them developing and expanding on tools that could help you invest more easily. |
Financial Planning
December 1, 2010
Sheila Amoroso |
The Truth About Munis With budget woes a daily news staple, state and local governments are taking steps to address the issues. Amid this uncertainty, it's important to understand some truths about investing in munis. |
Investment Advisor
May 2007
Palash R. Ghosh |
Safe, but Sound Intermediate-term bonds are not very exciting, but they do deliver steady gains. One of the top fund performers in this sector is the $1.06 billion Federated Bond Fund. |
Registered Rep.
September 25, 2002
Ross Tucker |
Suit Alleges Hidden Fees A suit filed in California last week alleges that major brokerage firms are charging customers unreasonable and undisclosed fees when selling municipal bonds. |
Financial Planning
April 1, 2011
Marc S. Freedman |
Bond Payment Most people believe that savings bonds double and reach face value between seven and 10 years, but it takes much longer. |
Registered Rep.
June 3, 2003
Will Leitch |
Brokerage Chiefs in Spitzer's Sights When New York Attorney General Eliot Spitzer announced the $1.4 billion settlement of the securities conflict of interest case in April, his office warned that it was "the beginning, not the end." Wirehouses are finding out, in a big way, that he wasn't kidding. |
The Motley Fool
March 21, 2011
Jacob Roche |
A New Approach to Bond Funds Maturity-date funds take much of the risk out of bond funds. |
Registered Rep.
April 29, 2005
Kristen French |
Raymond James Fined, Drops Fee-Based Brokerage---Will Others Follow? Following the NASD fine of Raymond James for pushing fee-based accounts on the wrong clients, the next question is how the settlement will affect other firms that offer the same accounts, including wirehouse giants Morgan Stanley, Merrill and Smith Barney. |
The Motley Fool
February 4, 2011
Russ Krull |
100-Year Bonds? Even though most individuals would not be interested in owning these bonds, there are at least two reasons they should be interested in the very long end of the bond market. |
Registered Rep.
April 8, 2004
Joan Warner |
Trouble In The House That Purcell Built? After suffering through a cruel bear market, Morgan Stanley has come under regulatory scrutiny and legal fire for practices in several key businesses in the past two years, including mutual fund sales. |
Registered Rep.
October 29, 2002
Rick Weinberg |
Morgan Stanley Opposes Fine Following the New York Attorney General's investigation of Merrill Lynch's research practices, the firm was fined $100 million. The attorney general's office is in the midst of an ongoing investigation of other firms, including Morgan Stanley, which is fighting back. |
BusinessWeek
April 1, 2010
Martin Z. Braun |
Can the SEC Get Its Street Cred Back? Elaine Greenberg is investigating abuses in the muni bond market, as the commission tries to rebuild trust. |
Financial Advisor
January 2011
Alan Lavine |
Will Munis Deflate Again? The muni market has been volatile, with governments facing steep revenue declines and fears of higher interest rates. |
Financial Planning
September 1, 2007
Marshall Eckblad |
5 Questions Stan and Hildy Richelson, authors of Bonds: The Unbeaten Path to Secure Investment Growth, answer five questions about the recent volatility in the fixed income market. |
