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Closed-End Funds

January 25, 2019 Unauthorized Trading, Suitability, and Customer Abuse Complaints Catch Up to Wedbush's William Mark Heiden of Southern California
March 24, 2020 Coronavirus Losses, Stock Market Decline Expose Fraudulent Schemes
September 12, 2016 Jonathan W. Evans & Associates is Investigating Claims Against William Mark Heiden & Wedbush Securities over Energy Stock Overconcentration
September 06, 2016 Ameriprise Financial Failed to Supervise Michael Halla's Unsuitable Closed End Fund Short-Term Trading, Fined $100,000
January 01, 2015 Risks and Rewards Abound for Closed-End Funds
June 06, 2014 Concentration Risk: The Implications of Putting All Your Eggs in One Basket
November 17, 2013 Dangerous Words: SEC Cautions Firms to Stop Using "Protected," "Guaranteed" in Fund Names
October 31, 2013 Closed-End Fund Distributions FINRA Investor Alert Issued: Points to Consider