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September 30, 2013
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Blog, Securities Fraud
On Monday Sept 23, 2013 a new rule went into effect that lifts the 80 year old ban on advertising for private placements or unregistered securities. Companies trying to raise capital through private securities offerings can now advertise directly to the general public via newspapers, Internet, and even tv
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January 3, 2012
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Blog, Securities Fraud
The Securities and Exchange Commission recently announced that it has amended its rules to exclude the value of a person’s home from net worth calculations used to determine whether an individual may invest in certain unregistered securities offerings. The changes were made to conform the SEC’s definition of an
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December 6, 2011
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Blog, Securities Fraud
In October of this year the Financial Industry Regulatory Authority (FINRA) submitted to the Securities and Exchange Commission (SEC) a proposal for a new rule, Rule 5123, which would have an impact on the offering of private placements. FINRA’s proposed Rule 5123, according to SEC documents, “would require that
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March 22, 2011
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Blog, Securities Fraud
According to the Investment News, Ameriprise Financial Inc. is taking preliminary steps to help its beleaguered independent broker-dealer subsidiary, Securities America Inc. On Friday, Securities America’s chief financial officer, Kelly Windorski, testified in a federal court in Dallas that the firm could go
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February 3, 2011
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Blog, Securities Fraud
Broker-dealer sales of opaque and illiquid private investments are squarely in the sights of securities regulators at the Financial Industry Regulatory Authority Inc. In fact, Regulation D private placements and “close cousin” non-traded real estate investment trusts are listed as the first and second areas of
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January 21, 2011
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Blog, Securities Fraud
Private Placements have become a hot button issue for FINRA regulators and securities attorneys representing investors. The number of private placement cases has spiked considerably over the past few years in large part because of the sizable commissions brokerage firms generate from selling private placements. We
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December 7, 2010
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Blog, Securities Fraud
The White Law Group is currently investigating securities fraud claims on behalf of investors involving investments in the IMH Secured Loan Fund, LLC. IMH Secured Loan Fund, LLC operates as a commercial real estate lender in the southwest United States. It originates, acquires, and manages commercial real estate
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