The White Law Group

non traded REIT investigation
Tag Archive

• Are Non-Traded REITs a safe bet?

  

  January 16, 2017 Comments (0) Blog, Current Investigations

  Investor Alert on Non-Traded REITs This information comes from a recent Investor Alert  on non-traded REITs from the Financial Industry Regulatory Authority. Investors often seek products offering more attractive yields during extended periods of low interest rates. An example is the publicly registered non-exchange

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• FINRA Fines 6 Firms Over REIT Sales

  October 15, 2015 Comments (0) Blog, Securities Fraud

  The Financial Industry Regulatory Authority (FINRA) fined six independent broker dealers who failed to give certain clients discounts on large purchases of non-traded REIT’s. According to InvestmentNews, the six firms were fined a total of more than $500,000 with Voya and Transamerica receiving the largest fine.

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• Update on Proposed REIT Regulations

  April 30, 2013 Comments (0) Blog, Securities Fraud

  For nearly two years, the Financial Industry Regulatory Authority (FINRA) has been working on revisions to Rule 2340 which would change how brokerage firms value per-share REITs on client account statements. According to Investment News, FINRA proposed to two options on how brokerage firms could use to

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• FINRA Continues their Focus on Non-traded REITs with an Investor Alert

  October 5, 2011 Comments (0) Blog, Securities Fraud

  FINRA released an investor alert for public non-traded REITs “to help investors understand the benefits, risks, features and fees of these investments.” This year FINRA has paid particularly close attention to the sale of non-traded REITs. In May, FINRA charged David Lerner & Associates “…with

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• FINRA Proposes More Changes to Protect Investors in Non-traded REITs

  September 30, 2011 Comments (0) Blog, Securities Fraud

  According to the investmentnews.com, FINRA has “…proposed changes to its Rule 2340, which governs customer account statements. Finra’s new proposal takes aim at brokers’ commissions and other upfront costs.” This change to Rule 2340 would seriously impact how the price of a nontraded REIT is listed

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• FINRA Proposal to Insist on Faster Valuations of Non-traded REITs

  September 28, 2011 Comments (0) Blog, Securities Fraud

  According to the investmentnews.com, FINRA “is putting the finishing touches on a rule proposal that would shorten the amount of time that broker-dealers have to come up with estimated valuation of a nontraded REIT.” The Financial Industry Regulatory Authority (FINRA) has been paying very close attention to REIT

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