Investor Lawyers Blog

Search Results: REIT

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Citigroup Global Markets Sales Assistant Accused of Stealing from Clients ...

Date: September 4, 2009

Merrill has reiterated that broker-dealers and banks are responsible for supervising not just their brokers but also their sales assistants, who are able to access confidential client information.

FINRA Permanently Bars Former Broker for Stifel, Nicolaus & Co. ...

Date: August 3, 2009

Louis Investment Club” and invest in “St Charles REIT. ... He also created bogus invoices that looked like official ownership certificates for REIT purchases. ... Charles REIT investment.

Ameriprise Must Pay $17 Million for REIT Fraud

Date: July 12, 2009

The SEC says Ameriprise demanded and got “revenue sharing” payments to sell the REITs but neglected to disclose it was receiving the payments. ... SEC Enforcement Director Robert Khumazi says the broker-dealer’s clients were not told that brokers had incentives ...

W.P. Carey & Co Settles SEC Charges Over Payments of ...

Date: March 25, 2008

REIT Manager W.P. ... Park, and its former chief accounting officer Claude Fernandez paid $10 million in undisclosed compensation to a brokerage firm that sold real estate investment trusts (REITs).

For Investors, REIT’s Go Global

Date: December 12, 2006

REIT Investors around the world can now take advantage of a global property boom in commercial real estate. Whereas several years ago, only six other nations, including the United States, allowed investors to invest in real estate investment trusts, there ...

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