Goodman & Nekvasil, P.A., May Recover Investor Losses – Do you have losses in Market Index Target Term Securities? According to Investing Answers: a market index target–term security (MITTS) is a debt security that offers potential upside based on gains in a market index while limiting downside losses by guaranteeing the initial investment will be returned if the index declines. Despite the loss constraints …

Goodman & Nekvasil, P.A., May Recover Investor Losses – Asia Linked Structured Products Stock-market values have plummeted due to coronavirus fears. Structured products—and specifically Asia-linked ones—can compound losses for investors who were unsuitably sold excessively risky products if those products perform poorly, and that’s on top of all the fees or commissions associated with the complex product. Goodman & Nekvasil, …

Goodman & Nekvasil, P.A., May Recover Investor Losses – Do you have losses in Capped Leverage Index Return Notes? Capped Leverage Index Return Notes provide you a leveraged return, subject to a cap, if the Ending Value of the Market Measure, which is the S&P 500® Index (the “Index”), is greater than its Starting Value. If the Ending Value is …

Goodman & Nekvasil, P.A., May Recover Investor Losses – Do you have losses in High-Income Trigger Securities? According to Investing Answers, a High-Income trigger securities (HITS) are senior unsecured debt securities that pay an annual coupon rate and repay their original principal either in cash or shares, depending on the issuer’s stock performance. Goodman & Nekvasil, P.A. May Recover Investor Losses on High-Income Trigger Securities Goodman & Nekvasil, P.A., a Clearwater, Florida, law …

Goodman & Nekvasil, P.A., May Recover Investor Losses – Do you have losses in Accelerated Return Notes? According to Investopedia, an accelerated return note (ARN) is a short- to medium-term debt instrument which offers a potentially higher return linked to the performance of a reference index or stock. An accelerated return note generally caps the total return it will provide but typically does not offer any …

Goodman & Nekvasil, P.A., May Recover Investor Losses – Do you have losses in National Securities Corp Auto-Callable Structured Notes? Auto-callable structured notes are short-term market linked investments that offer investors a coupon (i.e., income stream). The auto-callable structured note is linked to an underlying index or stock and has a maturity date on which the investor can receive a …

Goodman & Nekvasil, P.A., May Recover Investor Losses – Do you have losses in Bull Steepeners? According to Investopedia a Bull Steepener is a change in the yield curve caused by short-term interest rates falling faster than long-term rates, resulting in a higher spread between the two rates. A bull steepener occurs when the Fed Reserve is expected to lower interest rates. …

Goodman & Nekvasil, P.A., May Recover Investor Losses – Do you have losses in Bear Steepeners? According to Investopedia a Bear Steepener is the widening of the yield curve caused by long-term rates increasing at a faster rate than short-term rates.  A steepener is a type of complex, structured investment product. Essentially, a steepener is an interest rate swap. With a steepener …

Goodman & Nekvasil, P.A., May Recover Investor Losses – Do you have losses in Callable CDs? According to the SEC a Callable CD is a CD in which the issuing bank the right to terminate – or “call” – the CD after a set period of time, but they do not give the CD holder the same right. If interest …

Gregory Spencer O’Brien (Gregory O’Brien) – Customer Disputes Filed Involving Financial Advisor/Broker Gregory O’Brien | Goodman & Nekvasil P.A. May Recover Investor Losses Gregory Spencer O’Brien (Gregory O’Brien) CRD #3154314 Gregory O’Brien is a licensed financial advisor with PHX Financial, Inc. Gregory O’Brien was previously licensed with Aegis Capital Corp. According to Gregory O’Brien’s BrokerCheck report, two customer disputes are …