Investments

Bank Of America Investment By Hartley Bernstein

Although I am an atheist, I respect your belief. So, there is no too much relationship between God and Santa Claus. Because Santa Claus is called "Christmas old man" in Chinese, so I thought whether there was relationship between Santa Claus and Christ. Perhaps Santa Claus was Christ himself, then, Santa Claus should be God's son. Sorry that I don't want to serach related information via the Internet because I want to make a conversation.

Investment Opportunity (AXcess News) New York - As usual, it has been a busy year for investors, brokers and regulators. Now the holidays are upon us, Wall Street continues to show signs of life, investment bankers are counting their bonuses, and investors are licking their wounds.

A very popular family tradition, up until now known mostly to those within driving distance, is now available over the internet. Parents and grandparents, some from many miles away, drive to Santa Claus, Indiana each year to mail a very special personal letter from Santa Claus to their child or grandchild to enhance that once in a lifetime magical belief in Santa Claus. Mailed with the only official Santa Claus postmark, designed by a child each year, proves to children worldwide that Santa Claus truly does exist.

Banc Of America Investment That means it is time for a Stock Patrol holiday tradition- the Santa Claus story. In the spirit of the season, we think this cautionary tale bears repeating, year after year. It is a lesson that never grows old.

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Banking Investment In the midst of the booming 1990's a Florida broker was kidnapped from his firm's annual Christmas party by someone dressed in a Santa Claus costume. After searching for several days, authorities found the terrified broker. He was alive, but naked, and tied to a chair in the garage of one of his clients. And more than just a little bit shaken up. You see, during his ordeal the broker had been tortured each day with an electric cattle prod. His offense? It seems that his client didn't care for the way the broker had handled his account. The investor had filed a complaint with the broker's firm, but when they failed to act, the client decided to take matters into his own hands. He wasn't about to wait for Elliot Spitzer or some other regulator to make things right. That's when he rented the Santa suit - and the rest is Christmas history.

As early as 1920, Jim Martin, then the postmaster of the Santa Claus Post Office, noticed a growing number of letters arriving addressed only to "Santa Claus." He decided, with the help of Jim Yellig and the Santa Claus American Legion, to answer these letters which continues to this day.

Investment Solution Strategic As you might expect, the client was arrested. Perhaps he took some satisfaction from the plight of his broker. We don't know what happened to his brokerage account; hopefully, there was enough money left to pay for a good lawyer. Which doesn't mean the Santa story isn't instructive. Investors should be vigilant in protecting the integrity of their brokerage accounts. If a broker appears to have acted improperly, the customer should act quickly to alert the brokerage firm's Compliance Department, and, where appropriate, contact regulators and file for arbitration. Of course, before any of this can occur the customer must be aware of the improper activity. When should investors be concerned about a broker's conduct? Here are a few warning signs to keep in mind:

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Investment Banking Services 1. The broker buys or sells stock without your permission. Unless you have given the broker discretion to buy and sell without consulting you, no stocks can be bought or sold for your account unless you have placed an order.

Bank Investment 2. Your account statements (or confirmations) contain transactions you do not recognize. If you receive confirmations for unauthorized trades in your account contact the broker immediately. If the broker does not cancel the trade, or if the problem occurs more than once, go directly to the firm's Compliance Department. Do not be deterred by a broker who apologizes for the "error" but, at the same time tells you that it is too late to cancel the transaction. If you did not place the order you have the right to demand that it be canceled.

Alternative Investment 3. Your broker refuses to sell a stock or aggressively tries to discourage you when you try to place a sale order. Be firm. A broker may well try to discourage you from selling a security because he or she honestly believes in the future prospects of the company. On the other hand, some firms instruct their brokers to discourage any sales of so-called "house stocks." A "house stock" is generally a company that the brokerage firm has taken public or is promoting heavily. The firm, and its customers, may hold substantial positions in such "house stocks." Brokers seeking to discourage shares of house stocks may attempt to embarrass, bully or intimidate their clients into holding their positions. They may even agree to sell the shares and then fail to process the order. In any case, if you want to sell, ignore these tactics and insist that the firm place your order.

Online Investment Services 4. Your account has experienced an unusual amount of activity and you are paying commissions but not seeing any profits. It is possible that the broker is "churning" you account. Churning occurs when the broker engages in an excessive number of trades for the purpose of generating commissions.

Accompany Essential Investment 5. A broker implores you to buy a stock after telling you he has "inside" information that is not yet known to the public. This one is simple. Investors are not permitted to buy or sell stock based upon material information that is not available to the general public.

Investment Company 6. Your broker tells you that he or she cannot sell you the stock you want to buy unless you also buy shares of another company his firm is recommending. This is a technique sometimes used by unscrupulous brokers to push shares of "house stocks." If shares of a public company are actively traded you should be able to purchase them without any such preconditions. If your broker declines to follow your instructions, find another broker.

Investment Management Solution 7. Your broker "guarantees" that an investment will be profitable. A broker is not permitted to guarantee profits. Be particularly wary if the broker tells you that a company is about to make a "blockbuster" announcement that will send its stock soaring. Recommending an investment is one thing. Promising "pie in the sky" is quite another.

Investment Management Services 8. You are told that you must make an investment decision immediately. Stick to a time frame with which you're comfortable. After all, it's your money.

Guide Investment Stock What do you do if you are faced with one or more of these "red flags" (or other broker conduct that you believe is improper or suspicious)? Start by talking to the brokerage firm's Compliance Department but don't stop there unless you are completely satisfied that the situation will be remedied to your satisfaction and will not happen again. Don't be put off by letters telling you that the firm is "looking into the situation." If your concerns are not addressed immediately, report any improper conduct to the securities regulators in your state and to the NASD. StockPatrol.com provides the addresses and contacts for each of those agencies. And you should also remember that you have the right to file for arbitration before the NASD if you believe you have suffered losses as a result of broker misconduct.

Investment Manual Solution One more thing- beware of unauthorized Santas carrying cattle prods! Happy Holidays.

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