Negligence Unregistered securities sales Other registration violations Failure to execute trades Churning Unsuitability Overconcentration Unauthorized trading Breach of contract Breach of fiduciary duty Failure to supervise Different kinds of investment schemes: Ponzi scams, elder financial abuse , structured products fraud, ...

The lure of high commissions from risky products, including real estate investment trusts (REITs) , exchange-traded notes (ETNs), structured notes, and private placements, is why many investors end up with financial products they should never have purchased.

This has included, in recent years, the brokerage firm’s allegedly unsuitable recommendations of GWG Holdings L Bonds , Hospitality Investors Trust (HIT REIT) , GPB Capital Holdings private placements , and other kinds of financial products that have resulted in ...

This non-traded REIT’s primary offering went into effect in February 2013. After $2.2B in investor equity was raised, Healthcare Trust closed this offering in November 2014. In December 2017, affiliate American Realty Capital Healthcare Trust III, a publicly registered non-traded ...

FINRA's conclusions further uncovered that Investacorp failed to establish, maintain, and implement the appropriate written protocols of supervision on the issues of BDC and privately traded REIT sales.

Ex-Center Street Securities Satya Brata Shaw , who may have unsuitably recommended private placement securities, non-traded real estate investment trusts (REITS), and other illiquid investments, including ARC Global Trust II, ARC NYC REIT, NorthStar HealthCare Income, and others.

In 2022, Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com ) filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against the broker-dealer on behalf of a retiree who suffered losses in NorthStar Healthcare Income REIT and FS ...

Oil and gas investments Real estate investment trusts (REITs) Non-traded REITs Master limited partnerships (MLPs) Private placements Junk bonds Alternative investments Mortgage-backed securities (MBS) Structured products Business development companies (BDCs) Many of these investments can be risky, volatile, and illiquid.

Western International Securities A Texas retiree is pursuing up to $500K damages after Western International Securities broker Shomir Mukherjee in Los Angeles allegedly sold L bonds and non-traded REITs to him. As you can see above, many of these stockbrokers ...

For example, the State of New Jersey investigated Ameriprise on the issue of improper sales of AIS or alternative investments which the state defined as Non-Traded REITs and business development corporations (BDCs). A BDC is an entity that invests in ...