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Search Results: REIT
Results 210-220 of about 246
Date: July 8, 2013
This type of REIT is hard to sell when a customer wants out. Galvin said that it was during that probe his staff discovered there were a lot of brokers, who were not only inadequately supervised, but also they were ...
Date: July 2, 2013
Financial Firms in the Headlines: UBS Charges Financial Planning Fees, MF Global Customers Seek to Cap Ex-Leaders’ Legal Defense Expenses, Ex-Thompson REIT CFO is Suspended
Date: June 12, 2013
Brokerage Firms Change Hands as Insurers Divest In House Securities Firms, While REIT Manager Schorsch Buys First Allied Securities
Date: May 24, 2013
Berthel Fisher, VSR Financial Services, & Cetera Financial Modify the Way They Sell Nontraded REITs and Other Alternative Instruments
Date: May 22, 2013
As part of the nontraded REIT settlement, Ameriprise will pay $2.6 in restitution and a $400K fine, Securities America will pay $778K in restitution and a $150K fine, Royal Alliance will pay $59K in restitution and a $25K fine, Commonwealth ...
Date: May 6, 2013
The SRO has been trying to improve the sales practices related to illiquid REITs and increase their transparency.
Date: April 27, 2013
The SRO, which wants to give investors more transparency in regards to the actual value of such investments, has been trying to modify its rules about REITs and private placement valuations on client statements for well over a year.
Date: April 8, 2013
The dismissal of an Apple REIT class action lawsuit against David Lerner Associates Inc. in U.S. District Court for the Eastern District of New York should have little effect on the Apple REIT arbitration cases that are being resolved through ...
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 ...
