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July 31, 2012
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Blog, Securities Fraud
National Futures Association (NFA) has ordered Alpari US, LLC, a futures commission merchant and forex dealer located in New York City, to pay a $200,000 fine as a result of an NFA Complaint filed in June 2012 and a settlement offer submitted by Alpari. The Decision, issued by NFA’s Business Conduct Committee,
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July 27, 2012
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Blog, Securities Fraud
Healthcare Trust of America (“HTA”) recently published a press release announcing the results of their “Dutch Auction” style purchase tender from existing shareholders following their June 6, 2012 initial public offering. Only those investors who bid at or below the IPO price of $10.10 saw a share of their
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July 26, 2012
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Blog, Securities Fraud
KBS REIT Investment Losses According to reports, a class action against KBS REIT has been withdrawn. In May, investors lead by plaintiff George Stewart sued KBS, alleging that KBS made misrepresentations about the REIT, including its investment objectives, the dividend payment policy and the value of the REIT’s
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July 25, 2012
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Blog, Securities Fraud
Since our last post on Dividend Capital, LLC and the Dividend Capital Total Realty Trust, The White Law Group has heard from a number of investors who have recently received letters from the company regarding the value of their shares. According to those investors, the new price per shares is $6.69 and the quarterly
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July 23, 2012
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Blog, Securities Fraud
The Securities and Exchange Commission recently charged the U.S. investment banking subsidiary of Japan-based Mizuho Financial Group and three former employees with misleading investors in a collateralized debt obligation (CDO) by using “dummy assets” to inflate the deal’s credit ratings. According to the
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July 19, 2012
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Blog, Securities Fraud
According to an Investment News report, Fidelity has agreed to settle with Finra and pay a $375,000 fine over alleged sales violations involving the Fidelity Ultra Short Bond Fund from December 2006 through December 2008. Finra alleged that Fidelity’s two broker-dealers, Fidelity Brokerage Services LLC and Fidelity
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July 18, 2012
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Blog, Securities Fraud
According to an Investment News report, JHS Capital Advisors Inc. and a former broker were hit with a $1.9 million Finra arbitration award last week stemming from allegations that the broker traded in a client’s account excessively to generate commissions. JHS Capital Advisors is owned by a holding company
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July 17, 2012
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Blog, Securities Fraud
Have you suffered losses in a Highland Floating Rate Fund? If so, the securities attorneys of The White Law Group may be able to help you recover your losses through FINRA arbitration. Although Highland’s sales literature claims that its floating rate funds seek “capital preservation and the management of
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July 17, 2012
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Blog, Securities Fraud
Cypress Leaving Investment Losses Have you suffered losses in Cypress Leasing? If so, the securities attorneys of The White Law Group may be able to help you recover your losses through FINRA arbitration. Cypress Financial Corporation is a equipment leasing company based in San Francisco, California.
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July 17, 2012
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Blog, Securities Fraud
Have you suffered losses in ArciTerra National REIT? If so, the securities attorneys of The White Law Group may be able to help you recover your losses through FINRA arbitration. According to its Form D SEC filing, ArciTerra National REIT is a Phoenix, Arizona based real estate investment trust (or REIT). In order
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