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December 14, 2018
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Blog, Current Investigations
FINRA Examination Findings: firms need to tighten up supervisory systems. Last Friday, the Financial Industry Regulatory Authority announced examination findings that many brokerage firms have been recommending unsuitable investments without considering the impact that cumulative fees, sales charges and commissions
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October 31, 2017
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Blog, Current Investigations, Securities Fraud
New Jersey Settlement alleges excessive amounts of alternative investments According to reports, the New Jersey Bureau of Securities fined LPL Financial $950,000 and ordered it to pay $25,000 to a state investor education fund. According to the settlement, there was a lack of supervision in regards to suitability
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September 21, 2017
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Blog, Current Investigations, Securities Fraud
Mass. Regulator William Galvin Charges SII Investments with Supervisory Issues Massachusetts’ state securities regulator William Galvin has charged SII Investments with unethical conduct related to the sale of real estate investment trusts, according to an administrative complaint filed by the state. According to
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January 10, 2017
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Blog
Have you suffered losses investing in NorthStar Realty Finance Corp.? If so, the securities attorneys of The White Law Group may be able to help you recover those losses in a FINRA arbitration claim against the brokerage firm that recommended the investment. NorthStar Realty Finance Corp. is a commercial real estate
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August 20, 2015
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Blog, Podcasts, Securities Fraud
Wall Street v. Main Street Podcast – Episode 1 – REITs with Guest Nicholas L. Bruce, Esq. In this episode, Mr. White discusses the issues of non-traded REITs and answers your questions on what a REIT is, the different types of REITs and
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February 26, 2013
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Blog, Securities Fraud
KBS Non-Traded REIT Investment Losses KBS non-traded REIT was quick to file an Amended Free Writing Prospectus (FWP) with the SEC after Keith D. Hall, KBS Capital Advisor co-founder and managing partner, appeared on Fox Business. The document filed on February 20th, 2013 is intended to correct and clarify
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February 27, 2012
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Blog, Securities Fraud
The Financial Industry Regulatory Authority (FINRA) outlined a list of investment products that they will be watching closely in 2012 because they feel that “concerns relative to business conduct and suitability issues are heightened.” This list of investment products comes from FINRA’s January letter outlining
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November 16, 2011
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Blog, Securities Fraud
Behringer Harvard REIT I, Inc. recently issued its latest Form 10-Q quarterly report which is now publicly available through the SEC’s website. The report seems to indicate that the condition of the nontraded REIT is not on a fast track to recovery, but instead continues to struggle to improve the REITs overall
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September 22, 2011
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Blog, Securities Fraud
What is a Non-Traded REIT? A real estate investment trust, or REIT, is a corporation, trust or association that owns and often manages income-producing real estate. Although the selling points of a non-traded REIT can be enticing, investors should balance these selling points against the numerous complexities and
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September 8, 2011
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Blog, Securities Fraud
Non-traded REITs are a legitimate investment option for the right investor. REITs capitalize on tax law and often provide the smaller investor with an opportunity to invest in commercial real estate. However, non-traded REITs are not for everyone. There are a few problems with these investments that make them
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