December, 2012
Archive

December 20, 2012

SEC announces proceedings against Charlotte financial advisor.

On December 19, 2012, the Securities and Exchange Commission issued an Order

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December 19, 2012

SEC charges filed involving Claymore Dynamic Equity Fund

The Securities and Exchange Commission recently charged two investment advisory

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December 17, 2012

Wells Timberland REIT lowers estimated share price.

According to reports, the board of directors of Wells Timberland REIT Inc. recently

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December 17, 2012

Not All ETFs are the same.

In March 2010, the Securities and Exchange Commission (SEC) began a review of the

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December 14, 2012

Yield Seeking Investors Beware of Structured Notes

According to an Investment News report, structured notes are poised to surpass

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December 13, 2012

Ongoing Investigation Into Non-traded REITs sold by Ray Lucia

Earlier this year Ray Lucia Sr. was charged by the Securities and Exchange

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Reef SWD 2007-A December 13, 2012

Recovery of Reef SWD 2007-A Investment Losses

Reef SWD 2007-A Securities Investigation Have you suffered losses in Reef SWD

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December 12, 2012

LPL sued by Massachusetts securities regulators over non-traded REIT sales.

According to reports, Massachusetts securities regulators have sued LPL Financial,

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December 10, 2012

Securities Fraud Investigation Involving Brian Keith Miller

The White Law Group is investigating potential claims involving Brian Keith Miller,

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December 7, 2012

SEC charges Miami financial advisor with securities fraud.

The Securities and Exchange Commission (the SEC) recently announced the issuance of

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