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Search Results: REIT
Results 180-190 of about 228
Date: February 25, 2014
FINRA claims that from January 2008 to December 2012 Berthel Fisher had inadequate written procedures and supervisory systems to deal with the sale of alternative investment products, such as managed futures, non-traded REITs, oil and gas programs, managed futures, business ...
Date: February 13, 2014
Per FINRA documents, the investments were made in REITS offered by Inland American Real Estate Trust Inc. and they were non-tradable. Inland Real Estate Trust Inc. is one of the biggest non-traded REITs with over $11 billion in assets.
Date: January 3, 2014
FINRA to Go After Rogue Brokers, & Includes REITs, Municipal Bonds, & Frontier Markets Among Its Enforcement Priorities for 2014
Date: December 27, 2013
He did this by overconcentrating clients’ assets in illiquid securities, including REITs. ... FINRA’s settlement letter says that when Chackman submitted falsified documents, this allowed him to increase how much of customers’ accounts could be concentrated in REITs and other ...
Date: December 3, 2013
A Financial Industry Regulatory Authority panel says that National Planning Corp. must pay a $6.2 million REIT arbitration award to Minnesota investors Stacy and Ronnie Erickson. ... According to the FINRA award, which doesn’t name the REITs that the Ericksons ...
Date: November 25, 2013
Already, independent broker-dealers are headed toward selling $20 billion in nontraded REITS in 2013, which is nearly twice the amount that were sold in 2012. According to LPL Financial, its commissions for nontraded REITs and other alternative investments has gone ...
Date: November 23, 2013
In the dispute between investors and CommonWealth REIT (CWH) over whether to oust its board, an arbitration panel said that attempts by shareholder to remove trustees were not valid but that a new vote could go forward. ... They blamed ...
Date: October 22, 2013
REITs: Real estate investment scams may involve new development projects or buying, or beleaguered properties.
Date: September 4, 2013
., Commonwealth Financial Network, Lincoln Financial Advisors, and Royal Alliance Associates have consented to pay another $10.75 million in restitution over non-traded REITs that were sold to clients between 2005 and now. ... It was investors’ complaints that spurred the ...
Date: August 13, 2013
Certain mortgage REITs even had to use money that was borrowed to amplify possible returns. ... Unfortunately, a lot of mortgage REITs did not see the recent sharp rise in interest rates. ... That many of the REITs did not ...