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Search Results: REIT
Results 230-240 of about 258
Date: March 6, 2013
Per FINRA, IMS Securities failed to supervise several wholesale representatives for nearly the first four years of their employment and had insufficient WSP’s detailing the steps for assessing certain securities products (even though the financial firm sold number of direct ...
Date: February 25, 2013
It was just earlier this month that Massachusetts Secretary of the Commonwealth William Galvin ordered LPL Financial (LPLA) to pay $2.5 million in a REIT case for the allegedly improper sale of nontraded real estate investment trusts to hundreds of ...
Date: November 26, 2012
For example, several firms did not conduct reasonable due diligence before selling non-traded REITs or make sure they were suitable for the investors. As for the reverse convertibles, examiners reportedly discovered an overconcentration of products in certain investor portfolios primarily ...
Date: October 21, 2012
The Financial Industry Regulatory Authority is ordering David Lerner Associates, Inc. to pay $14M for allegedly engaging in unfair sales practices involving its Apple REIT Ten and charging clients excessive markups. $12 million of this will be restitution to the ...
Date: October 19, 2012
Rizvi Traverse Management, LLC et al , Justia Dockets and Filings More Blog Posts: US Supreme Court Considers Hearing Stanford Ponzi Lawsuits , Stockbroker Fraud Blog, October 3, 2012 Texas Securities Fraud: Investor Sues Behringer Harvard REIT I Stockbroker Fraud ...
Date: October 8, 2012
Securities Roundup: SLUSA Bars Investors’ State Securities Case Alleging Trust Account Management Negligence, Blocks Investors From Remanding Fraud Case to Puerto Rico & FINRA Enhances Proposed Rules’ Cost-Benefit Analysis, Looks at Non-Traded REIT Ads
Date: October 5, 2012
Wells Fargo alleging $1.5 billion securities fraud , San Francisco Business Times, October 2, 2012 Wells Fargo Settles Case Originating At Wachovia , The New York Times, April 5, 2012 More Blog Posts: Lehman Brothers Australia Found Liable in CDO ...
Date: September 26, 2012
In her Texas securities lawsuit , investor Lillian Hohenstein is suing Behringer Harvard REIT I, one of the biggest nontraded real estate investment trusts.
Date: September 15, 2012
Read Schapiro’s Letter to Issa (PDF) More Blog Posts: REIT Retail Properties of America’s $8 Public Offering Results in Major Losses for Fund Investors, Institutional Investor Securities Blog, April 17, 2012 Should Retail Investors Be Given Greater Access to IPO ...
Date: August 29, 2012
Reward , The New York Times, August 21, 2012 Read Eiben’s Petition to the SEC (PDF) MoxyVote (PDF) Read the SEC complaint in its case against Rex Venture Group (PDF) More Blog Posts: Merrill Lynch Agrees to Pay $40M Proposed ...
