:
Updated:
Carter Validus Mission Critical REIT and REIT II Agree to Merge
:
Updated:
The Parking REIT, Inc. and MVP Monthly Income Realty Trust, Inc. Class Action Pending- Lead Plaintiff Deadline of May 13, 2019
:
Updated:
Carey Watermark Investors, Inc. Subject of Recent Tender Offer at $7.50/Share
:
Updated:
American Finance Trust (AFIN) Shares Languish- Price Drops As Low As $10.08/share
:
Updated:
Healthcare Trust Inc. Drops NAV to $17.50
:
Updated:
Cardinal Energy Group (CEGX) Charged by SEC- Investors May Have Claims
:
Updated:
Steadfast Apartment REIT Subject of Tender Offer at $11.86/Share
:
Updated:
UBS Yield Enhancement Strategy (or “YES”), Marketed as Limited Risk, Delivers Major Losses
:
Updated:
GPB-Owned Garbage Company Investigated by N.Y. Business Integrity Commission
:
Updated:
Hospitality Investors Trust Suspends Share Repurchases
:
Updated:
GPB Private Placements- 80 Broker-Dealers Reportedly Authorized to Sell
:
Updated:
Inland Residential Properties Subject of Recent Tender Offer at $11.39/Share
:
Updated:
GPB Capital Holdings Reportedly Under FBI Investigation
:
Updated:
KBS REIT II Subject of Recent Tender Offer at $3.21/Share
:
Updated:
Customers of Barred Broker Gabriel “Gabe” Block, Formerly of National Securities and Oppenheimer, May Have Arbitration Claims
:
Updated:
Investors In Certain Oil and Gas Limited Partnerships Offered by David Lerner May Have Arbitration Claims
:
Updated:
Crash of the Condor: “Iron Condor” S&P Option Trading Strategy Marketed as Providing “Yield Enhancement” for Bond Investors Delivers Losses
:
Updated:
All American Oil & Gas is Bankrupt – Investors May Face Losses
:
Updated:
GPB Capital Holdings Private Placements Probed By SEC and FINRA
:
Updated:
Strategic Realty Trust Investors Seeking Liquidity Through Secondary Market Transactions May Face Principal Losses
:
Updated:
Cole Credit Property Trust IV Subject of Recent Tender Offer at $6.60/Share
:
Updated:
GPB Capital Holdings’ Auditor Resigns Due To “Perceived Risks”
:
Updated:
Recent Tender Offer and Secondary Pricing for Summit Healthcare REIT Shares Suggests Value of Less Than $2.00 a Share
:
Updated:
FS Investment Corp. II Shares Trade at Prices as Low as $7.20 a Share – Third Party Tender Offer Completed at $5.15 a Share
:
Updated:
Recent Secondary Market Pricing for Cole Credit Property Trust V Suggests Investors May Have Incurred Principal Losses
:
Updated:
NorthStar Healthcare Investors Seeking Liquidity May Incur Principal Losses
:
Updated:
KBS REIT II Continues to Explore Strategic Alternatives – Investors Seeking Liquidity Left With Limited Options
:
Updated:
Liquidity Options are Limited for FS Energy and Power Fund Investors
:
Updated:
Carter Validus Mission Critical REIT – Secondary Market Pricing Suggests Investors May Have Principal Losses
:
Updated:
Sierra Income Corporation Seeking Shareholder Approval for Medley Merger – Investors May Suffer Significant Losses
:
Updated:
Black Creek Diversified Property Fund Shares Secondary Market Trading Range Reportedly $6.95-$7.05 a Share- Investors May Have Losses
:
Updated:
Alleged Woodbridge Ponzi Schemer Robert Shapiro Fined $120 Million By SEC
:
Updated:
Former Financial Advisor David Ferdwerda Barred by FINRA From the Securities Industry- Allegedly Sold Woodbridge Securities
:
Updated:
Woodbridge Receives Judicial Approval of its Chapter 11 Plan of Liquidation, Paving Way for Payment of Investor Claims
:
Updated:
American Finance Trust (AFIN) Share Price Continues to Languish- Shares Subject to Tender Offer
:
Updated:
Woodbridge Investors Solicited by Former Investment Adviser Max Hechtman May Have Legal Claims
:
Updated:
American Finance Trust (AFIN) Shares Continue to Languish- Post-IPO Shares Trading At Less Than $15 a Share
:
Updated:
Massachusetts Securities Regulator Targets Potential Sales Practice Abuse Surrounding Private Placement Investments
:
Updated:
1st Global Capital Investors Solicited by Pinnacle Plus Wealth Management May Have Legal Claims
:
Updated:
Travel Insurance Sold By Airlines and Travel Booking Websites May Give Rise to Legal Claims
:
Updated:
Hospitality Investors Trust Inc. (Formerly ARC Hospitality Trust) Announces $9/Share Buyback
:
Updated:
World Tree Financial, Wesley and Priscilla Perkins, Cherry-Picked Certain Securities Trades According to SEC Lawsuit
:
Updated:
AFIN Update: Upcoming Conversion of American Finance Trust B-1 Shares May Have Dilutive Effect on AFIN Share Price
:
Updated:
Tamara Steele, Indiana Financial Advisor, Sued by SEC for Sales of Behavioral Recogition Systems, Inc. Stock
:
Updated:
SII Investments Non-Traded REIT Sales Targeted By Massachusetts Securities Regulator
:
Updated:
Investors in 1st Global Capital Notes Solicited by Advisors Including Matthew Walker and Pinnacle Plus May Have Options for Recovering Their Losses
:
Updated:
AR Global’s Healthcare Trust, Inc. Subject of $10.99/Share Tender Offer – Investors May Face Losses
:
Updated:
EquityBuild SEC Complaint- Further Details of Alleged Ponzi Scheme
:
Updated:
StockCross Charged With Improper UIT Transactions by Massachusetts Securities Regulators
:
Updated:
Investors in Future Income Payments, LLC May Have Arbitration Claims
:
Updated:
Strategic Storage Growth Trust Suspends its Distributions Effective August 23
:
Updated:
EquityBuild, Issuer of Purported Secured Notes, is a Ponzi Scheme, SEC Alleges
:
Updated:
1st Global Capital Targeted by SEC and U.S. Attorney’s Office in Investigation Concerning Alleged Fraud
by Michael J. Giarrusso
:
Updated:
Hector May, Former Securities America Financial Advisor, Reportedly Under Investigation
:
Updated:
American Finance Trust (AFIN) Shares Subject to Tender Offer
:
Updated:
SEC Alleges Financial Visions, Colorado-Based Funeral Financing Business, Operated as Ponzi Scheme
:
Updated:
Aegis Capital Fined by SEC & FINRA in Connection With Certain Penny Stock Transactions
:
Updated:
Infinex Investments Charged by Mass. With Unsuitable Sales at Bank Branches
:
Updated:
Jerry Raines, Formerly of HD Vest, Allegedly Sold Unregistered Woodbridge Securities
:
Updated:
Hines Real Estate Investment Trust Approves Final Liquidating Distribution
:
Updated:
Recent Tender Offer Pricing for CNL Healthcare Properties Suggests Investors May Have Incurred Losses
:
Updated:
CT Financial Advisors Temenos Advisory and George Taylor Charged By SEC
:
Updated:
American Finance Trust (AFIN) Lists on NASDAQ- Revealing Heavy Investor Losses
:
Updated:
Massachusetts Securities Regulator Targets Brokerages in Private Placement Sales
:
Updated:
Hector May, Formerly of Securities America, Subject of Department of Justice Investigation on Suspicion of Misappropriation of Client Assets
:
Updated:
Former Financial Advisor Kyusun Kim Barred From Securities Industry by FINRA
:
Updated:
Former NY Life Broker Joel Flaningan Allegedly Sold Unregistered Woodbridge Investments
:
Updated:
SEC Files Complaint against Suspended Broker John Piccarreto, Jr. in Connection With $102 Million Ponzi Scheme
:
Updated:
Alan H. New Allegedly Sold Unregistered Woodbridge Investments While Employed By NYLife Securities
:
Updated:
Mass. Regulator: MetLife Allegedly Failed To Contact Retirees About Benefits
:
Updated:
Financial Advisor Matthew Eckstein Charged with Grand Larceny and Fraud by Nassau County District Attorney
:
Updated:
Former Securities America Broker Hector May Submits to Asset Freeze by the United States Attorney for the Southern District of New York
:
Updated:
Financial Advisor Peter D. Holler Suspended by FINRA in Connection with Recommendations to Invest in Woodbridge Unregistered Securities
:
Updated:
Edward Wedbush Under Regulatory Scrutiny by NYSE Concerning Allegations of Failure to Supervise Certain Trades
:
Updated:
Woodbridge Investors Solicited by Former Quest Capital Broker Frank Dietrich May Have Arbitration Claims
:
Updated:
Essex Capital Corp and Principal Ralph Iannelli Charged With Securities Fraud by SEC
:
Updated:
Woodbridge Investors Solicited by Former Royal Alliance Broker Frank Capuano May Have Arbitration Claims
:
Updated:
Woodbridge Mortgage Fund Investors File FINRA Arbitration Claims Against Stockbrokers and Advisors
:
Updated:
Steven Pagartanis, Former Cadaret, Grant Broker, Accused of Fraud by SEC
:
Updated:
Recent Secondary Market Pricing Suggests Investors in Certain Non-Traded BDCs Have Sustained Losses
:
Updated:
Woodbridge Noteholders Seek Role in Bankruptcy Restructuring
:
Updated:
Carter Validus Mission Critical REIT Subject of Tender Offer at $3.36/Share As Largest Tenant Goes Bankrupt
:
Updated:
Cole Credit Property Trust IV Tender Offer Suggests Investors Have Substantial Principal Losses
:
Updated:
Phillips Edison Grocery Center REIT II Investors Face Losses – Mini-Tender Offer at $14.89/Share
:
Updated:
Investors in Illiquid REITs and Real Estate Limited Partnerships May Encounter Considerable Difficulty in Redeeming Shares for Cash
:
Updated:
LJM Preservation & Growth Fund Reportedly Recommended by Investment Advisers, Leading to 80% Losses
:
Updated:
Laidlaw & Company (U.K.) LTD. Consents to Sanctions Concerning Sales of Non-Traditional ETFs
:
Updated:
Griffin Capital Essential Asset REIT Investors May Have Substantial Losses Based On Recent Tender Offer For $6.89/Share
:
Updated:
“Yield Enhancement” Options Strategies, Including UBS “Iron Condors” Program, May Cause Outsized Losses
:
Updated:
Hard Rock Exploration Oil and Gas Private Placements Impacted By Bankruptcy Filing
:
Updated:
Vista Drilling Programs Investors Solicited by Brokers May Have Arbitration Claims
:
Updated:
Secondary Market Pricing for NorthStar Healthcare Income REIT Suggests Investors Have Principal Losses
:
Updated:
Scott William Palmer, Former Janney Montgomery Scott Broker, Barred by FINRA
:
Updated:
EV Energy Partners Declares Bankruptcy – Investors May Have Claims
:
Updated:
Benefit Street Partners Realty Trust Net Asset Value Reported As $19.17/Share: Sale Options Limited
:
Updated:
Triloma EIG Energy Income Fund Authorizes Plan of Liquidation and Dissolution
:
Updated:
SEC Formally Charges Wedbush Securities Over Claims Brokerage Firm Failed to Supervise Timary Delorme
:
Updated:
Aegis Capital Fined by SEC and FINRA Over Claims it Ignored Red Flags on Suspicious Penny Stock Transactions
:
Updated:
Former Cambridge Investment Research Broker Ralph Savoie Pleads Guilty to Mail Fraud
:
Updated:
The Parking REIT, Inc. Announces Immediate Suspension of Cash Distributions
:
Updated:
Alaska Financial Company III Promoters Allegedly Misappropriated Funds and Violated SEC “Regulation D”
:
Updated:
Wells Fargo Advisers Reportedly Under Investigation by Massachusetts
:
Updated:
Former Morgan Stanley Broker Thomas Alan Meier Barred in Connection with Customer Complaints
:
Updated:
Former Rumson, NJ Broker Gabe Block Barred in Connection with Delaware Consent Order
:
Updated:
Strategic Realty Trust Subject of $3.81/Share Tender Offer
:
Updated:
Recent Tax Ruling Sparks Selloff in Energy Master Limited Partnerships
:
Updated:
FINRA Bars Former Gold Coast Securities Broker in Connection with Allegations of Excessive Trading
:
Updated:
FINRA Bars Former Vanderbilt Securities Broker in Connection with Allegations of Churning Elderly Investor’s Account
:
Updated:
Sierra Income Corporation Investors May Have Losses After Completed Tender Offer
:
Updated:
Former Broker Brandon Stimpson Discharged By Allegis Investment Advisors In Connection With Risky Put Strategy
:
Updated:
Former Morgan Stanley Broker Voluntarily Consents to Securities Industry Bar In Connection With Certain Outside Business Activity
:
Updated:
Investment Firm Offers $12.17/Share For The Parking REIT, Inc. Shares
:
Updated:
Former NMS Capital Broker Darrell Rideaux Barred From Securities Industry by FINRA
:
Updated:
Strategic Realty Trust May Give Rise to Arbitration Claims
:
Updated:
Western International Securities, Inc. Consents to a Fine of $521,098 in Connection With Sales of Non-Traditional ETFs
:
Updated:
American Realty Capital NYC REIT Suspends its Distributions Effective March 1st
:
Updated:
Inventrust Shares Subject of $1.49 A Share Tender Offer- Investors Face Heavy Losses
:
Updated:
Investors In Non-Conventional Investments and REITs Face Suspended Redemptions
:
Updated:
Everest REIT Investors Launch Tender Offer for Griffin-American Healthcare REIT III Shares – Investors May Have Arbitration Claims
:
Updated:
LJM Preservation and Growth Fund Plummets In Value During VIX Spike
:
Updated:
FINRA Warned of Risks of VIX-Linked Exchange Traded Products
:
Updated:
ARC NYC REIT Increases its Defensive Tender Offer – Investors May Have Arbitration Claims
:
Updated:
Inverse ETF Investors Lose Millions As VIX Index Skyrockets
:
Updated:
Financial Advisor Melvin E. Case Suspended From the Securities Industry for Six Months
:
Updated:
American Finance Trust Shares Subject of Competing Tender Offers
:
Updated:
Woodbridge Bankruptcy Update: Judge Approves Settlement Agreement Calling For Board of Managers
:
Updated:
Financial Advisor Gina Chaney Discharged From Employment in Connection with Equity-Indexed Annuities
:
Updated:
Investors in Credit Suisse’s VelocityShares Daily Inverse VIX Short Term ETN May Have Arbitration Claims
:
Updated:
Investors in Certain Volatility Linked Financial Products May Have Arbitration Claims
:
Updated:
FINRA Bars Former Wells Fargo Advisor for Allegedly Churning Customer Accounts
:
Updated:
Investors May Have Arbitration Claims Against Former Newbridge Securities Broker Austin Dutton
:
Updated:
Investors in AEI Accredited Investor Fund V May Have Arbitration Claims
:
Updated:
FS Energy and Power Fund Update
:
Updated:
Woodbridge Bankruptcy Update: Chief Restructuring Officer Resigns Amid Concerns Related to Need for Independent Trustee Oversight
:
Updated:
FINRA Issues 2018 Regulatory Guidance on Securities Backed Lines of Credit
:
Updated:
Woodbridge Bankruptcy Update: SEC Seeks Appointment of Chapter 11 Trustee to Ensure Adequate Representation of Woodbridge Investors
:
Updated:
Investors in Life Settlements Absolute Return I, LLC May Have Arbitration Claims
:
Updated:
KBS REIT II Investors May Have Arbitration Claims
:
Updated:
Investors in Roundstone Healthcare Capital V May Have Arbitration Claims
:
Updated:
FINRA Bars Former Ameriprise Advisor for Alleged Churning of Accounts
:
Updated:
Investors in Business Development Corporation of America May Have Arbitration Claims
:
Updated:
Investors in Inland Land Appreciation Fund II May Have Arbitration Claims
:
Updated:
Purported Massive Investment Fraud had Hallmark Signs of a Ponzi Scheme
:
Updated:
ARC Healthcare Trust III Approves its Plan of Liquidation
:
Updated:
Investors in American Finance Trust May Have Arbitration Claims
:
Updated:
SEC Charges Operators of Woodbridge with Running $1.2 Billion Ponzi Scheme
:
Updated:
MML Financial Advisor Brian Travers Barred by FINRA
:
Updated:
LPL Loses $462,000 Arbitration Claim Involving Former Broker Charles Fackrell
:
Updated:
SEC Censures Ameriprise in Connection With Sales of F-Squared AlphaSector Strategies
:
Updated:
Summit Healthcare REIT Shares May Be Worth Less Than $2 A Share
:
Updated:
Investors in CNL Lifestyle Properties, Inc. May Have Arbitration Claims
:
Updated:
Former LPL Financial Advisor Les Koonce Barred By FINRA
:
Updated:
Former Wells Fargo Brokers Barred for Recommending Risky Over-Concentration in Oil & Gas Investments
:
Updated:
FINRA Bars Broker for Failure to Produce Documentation Concerning Annuity Sales
:
Updated:
Former Bolton Capital Broker Paul Smith Indicted for Alleged Haverford Group Scheme
:
Updated:
Woodbridge Group of Companies Receives Court Approval on its First Day Bankruptcy Court Motions
:
Updated:
Woodbridge FPCM Investors May Have Legal Rights
:
Updated:
SEC Files Civil Complaint Alleging Churning Against Two New York Stockbrokers
:
Updated:
Woodbridge Group of Companies Tells Investors Bankruptcy Is “Effort To Recapitalize Debt And Establish Stronger Financial Platform”
:
Updated:
Woodbridge Group of Companies Files for Chapter 11 Bankruptcy Protection
:
Updated:
Woodbridge Mortgage Investment Fund 3, LLC Subject To Texas Cease-and-Desist Order
:
Updated:
FINRA Sanctions Morgan Stanley for Failing to Supervise UIT Sales
:
Updated:
Bank of America/Merrill Lynch Strategic Return Notes (SRNs) Collapse In Value
:
Updated:
SII Investments Non-Traded REIT Sales Subject of Massachusetts Complaint
:
Updated:
FINRA Bars Former United Planners Broker Jerry Lou Guttman For Alleged Private Securities Transactions
:
Updated:
Investors in United Development Funding IV May Have Arbitration Claims
:
Updated:
Woodbridge Mortgage Funds Subject of Pennsylvania Orders to Show Cause
:
Updated:
Investors in GWG Renewable Secured Debentures May Have Arbitration Claims
:
Updated:
SEC Files Civil Charges Against Singer Financial Corp.
:
Updated:
Mass. Regulator Serves Woodbridge With Cease-And-Desist Order
:
Updated:
Texas Securities Regulators Bar Former VSR Broker Mickey Long From Selling Alternative Investments
:
Updated:
FINRA Orders Restitution In First Allied Securities Mutual Fund Sales Charge AWC
:
Updated:
Investors in United Development Funding III May Have FINRA Arbitration Claims
:
Updated:
Investing in Non-Traded BDCs May Get Even Riskier
:
Updated:
Woodbridge Group of Companies Targeted In Contempt of Court Motion By SEC
:
Updated:
John P. Correnti of AXA Advisors Barred By FINRA
:
Updated:
FINRA Fines Hornor, Townsend & Kent $275,000 Over L-Share Variable Annuity Sales Practices
:
Updated:
Court Orders Woodbridge To Produce Documents To SEC
:
Updated:
Oil and Gas Master Limited Partnerships At Issue In FINRA Arbitration Case Won By Customer
:
Updated:
Investors Face Losses As Corporate Capital Trust Begins Trading on NYSE
:
Updated:
Woodbridge Mortgage Investment Funds Sales Probed By Colorado Division of Securities
:
Updated:
Former Janney Montgomery Scott and RBC Financial Advisor Lisa J. Lowi Barred From the Securities Industry
:
Updated:
Woodbridge Officials Invoke the 5th Amendment Against Self-Incrimination
:
Updated:
Investors in Healthcare Trust, Inc. May Have Arbitration Claims
:
Updated:
Woodbridge Mortgage Investment Fund 4, LLC Subject to Michigan Cease-And-Desist Order
:
Updated:
SEC Subpoenas Numerous Woodbridge LLCs in Probe of Sales of Unregistered Securities
:
Updated:
Ameritas Fined $180,000 by FINRA Over L-Share Variable Annuity Sales Practices
:
Updated:
U.S. Charges Former Merrill Lynch Financial Advisor Thomas Buck With Securities Fraud
:
Updated:
First Allied Financial Advisor Mike Azad Barred by FINRA
:
Updated:
EnerVest Oil and Gas Private Equity Fund Collapses
:
Updated:
Former LPL Broker Charles Fackrell Pleads Guilty to Securities Fraud Linked To Alleged Ponzi Scheme
:
Updated:
American Finance Trust REIT Investors May Have Arbitration Claims
:
Updated:
Regulators Accuse California-Based Woodbridge of Sales of Unregistered Securities
:
Updated:
PR Bonds Plummet In Value After Hurricane Maria- Investors May Have Claims Against Brokers and Financial Advisors
:
Updated:
Investors in HMS Income Fund May be Able to Recover Losses Through Arbitration
:
Updated:
3x Leveraged and Inverse ETFs May Give Rise To Investor Claims
:
Updated:
American Capital Properties, Inc. CFO Convicted of Securities Fraud
:
Updated:
New Jersey Regulators Fine LPL Financial Over Non-Traded REIT Sales
:
Updated:
Investors in Hospitality Investors Trust, Inc. May Have Arbitration Claims
:
Updated:
Wisconsin Enters Order Against Conestoga Life Settlements Agents in Connection with Viatical Sales
:
Updated:
Vestin Realty Mortgage I and II and MVP REIT I and II Investors May Have Arbitration Claims
:
Updated:
Volatility Linked ETF Investors May Have Arbitration Claims
:
Updated:
Atlas Resources 28-2010 L.P. Investors May Have Arbitration Claims
:
Updated:
Hospitality Investors Trust Inc. (formerly ARC Hospitality Trust) Subject Of $5.53 A Share Tender Offer
:
Updated:
Investors in ARC Healthcare Trust III May Have Arbitration Claims
:
Updated:
Investors in ATEL 14 LLC May Have Arbitration Claims
:
Updated:
SEC and FINRA Focus On Customer Account Hack Threats
:
Updated:
Williamsville, New York Financial Advisor Michael Giokas Arrested by FBI on Fraud Charges
:
Updated:
Energy Products Investors May Have Arbitration Claims
:
Updated:
FINRA Prioritizes Oversight of Variable Annuity Sales and Switching for Potential Abuse
:
Updated:
FINRA Hearing Panel Fines Carolina Financial Securities, LLC For Promissory Note Sales
:
Updated:
Colorado Springs-Based LPL Broker Sonya Camarco Indicted on Securities Fraud Charges
:
Updated:
VGTel Subject of SEC Lawsuit- Investors May Have Claims
:
Updated:
Summit Healthcare REIT Subject of $1.34 a Share Tender Offer
:
Updated:
Breitburn Energy Partners, L.P. Investors Win FINRA Arbitration Award
:
Updated:
Enervest Ltd. Private Equity Funds Plummet in Value
:
Updated:
Woodbridge Mortgage Fund Investors May Have FINRA Arbitration Claims
:
Updated:
Bakken and Coachman Private Placement Investors May Have FINRA Arbitration Claims
:
Updated:
SEC Alleges Fraud in Connection with Southern Energy Group/Black Gold Resources Oil Investment Scheme
:
Updated:
Variable Annuity Switching, Subject of FINRA Crackdown, May Signal Broker Abuses
:
Updated:
Senior Investors Often Targeted For Investment Fraud, New Survey Shows
:
Updated:
Investors in Business Development Corporation of America May Have Arbitration Claims
:
Updated:
Investors in CNL Growth Properties May Have Arbitration Claims
:
Updated:
Credit Nation/CN Capital Investors May Have Legal Claims
:
Updated:
Leon Vaccarelli of Waterbury, Connecticut Charged With Running Alleged Ponzi Scheme
:
Updated:
Astenbeck Master Commodities Fund II Investors May Have Arbitration Claims
:
Updated:
FINRA Focuses On Non-Traded Business Development Companies – Have You Lost Money In a Non-Traded BDC Such As Sierra Income Corporation?
:
Updated:
Investors in FS Energy and Power Fund May Have Arbitration Claims
:
Updated:
Investors in Strategic Realty Trust May Have Arbitration Claims
:
Updated:
Lightstone Value Plus REIT V and American Finance Trust Investors May Have Arbitration Claims
:
Updated:
KBS REIT I Investors May Have Arbitration Claims
:
Updated:
PROMESA Filing May Give Rise to Claims Against Puerto Rico Brokerage Firms
:
Updated:
Puerto Rico COFINA and PREPA Bonds May Give Rise to Investor Claims
:
Updated:
Private Placements- Know the Risks Before Investing
:
Updated:
LPL Fined by State of NH for Alleged Unsuitable REIT Sales
:
Updated:
Non-Traded REITs – Investors Should Proceed with Caution!
:
Updated:
State of Illinois Charges Thrivent Over Variable Annuity Switching
:
Updated:
Former NEXT Financial Broker Douglas P. Simanski Barred for Alleged Theft
:
Updated:
Platinum Partners Hedge Funds Under Scrutiny
:
Updated:
FINRA Fines Investors Capital Over Unit Investment Trust Sales
:
Updated:
FINRA Fines Merrill Lynch Over Sales of Strategic Return Notes
:
Updated:
SEC Fines UBS Over Sales of Reverse Convertible Notes
:
Updated:
FINRA Fines Investors Capital for Alleged Unsuitable UIT Sales
:
Updated:
Claimants Continue to File Arbitration Claims Involving Financial Preferreds
:
Updated:
36 Oil and Gas Companies Filed For Bankruptcy In 2015
:
Updated:
Customer Complaints Made Against Broker Robyn H. Lee Regarding TICs
:
Updated:
Massachusetts State Authorities Investigate Realty Capital Securities (RCS)
:
Updated:
JP Energy Partners, L.P. Investments May Be Unsuitable For Some Investors
:
Updated:
Vanguard Funds File Suit Against VEREIT
:
Updated:
Reef Oil and Gas Investments May Give Rise To Investor Arbitration Claims
:
Updated:
Great Basin Scientific, Inc. Investigation
:
Updated:
Broker Robert Turpin Discharged By Source Capital
:
Updated:
Recommendations of United Mortgage Trust May Give Rise To Arbitration Claims
:
Updated:
Family Endowment Partners and Broker Lee Weiss Charged With Defrauding Clients
:
Updated:
Halcon Resources Investment Losses May Give Rise To Arbitration Claims
:
Updated:
Former LPL Financial Broker Garrett Aherns Sanctioned Over False Account Statements
:
Updated:
Questar Capital Broker Jeffery Mohlman Barred From Securities Industry
:
Updated:
Losses In Oil Linked Structured Notes May Give Rise To Arbitration Claims
:
Updated:
Former J.P. Turner Broker John Lopinto Is Subject Of Customer Complaints
:
Updated:
Van Eck International Investors Gold Fund Losses May Give Rise To Suitability Claims
:
Updated:
Atel Capital Equipment Fund IX Invstors May Have Arbitration Claims If Recommendations Were Not Suitable
:
Updated:
FINRA Suspends Newport Coast Securities Broker Lucian D. Hodgman
:
Updated:
Cambria Capital Broker Robert Potter Barred From Securities Industry
:
Updated:
Invetors May Have Possible Claims Concerning Direxion ETF Losses
:
Updated:
Customers File Complaints Against Broker Eric Wegner Over Tenant-In-Common Investments
:
Updated:
Former J.P. Turner Stockbroker Robert E. Gill Fined and Suspended From Securities Industry
:
Updated:
Lightstone Value Plus REIT Recommendations May Be Unsuitable
:
Updated:
Customers File Complaints Against Centaurus Financial Broker Robert Horning
:
Updated:
Customers File Complaints Against First Financial Equity Broker John Schooler
:
Updated:
Customers File Complaints Against RBC Capital Markets Broker Jeffrey A. Fladell
:
Updated:
Broker Bennett Broad Barred From The Securities Industry
:
Updated:
FINRA Fines Santander Securities, LLC $6.4 Million For Supervisory Failures
:
Updated:
SEC Charges Financial Advisor Dawn Bennett With Inflating Assets and Exaggerating Returns
:
Updated:
John P. Jones Sanctioned By FINRA Over Unsuitable Private Placement Recommendations
:
Updated:
FINRA Charges Former J.P. Turner Broker Allen Goldberg With Fraud
:
Updated:
Former LPL Financial Broker Walter Chao Fined And Suspended Over Private Securities Transactions
:
Updated:
Investigation Concerning Mission Residential TICs and DSTs sold by Sigma Financial
:
Updated:
LPL Financial Settles With State Securities Regulators For Sale of Non-Traded REIT’s
:
Updated:
FINRA Sanctions Broker Daniel Grieco of First Allied Securities For Non-Traditional ETF Sales
:
Updated:
Unsuitable Recommendations Of Cushing Royalty & Income Fund Shares May Give Rise To Investor Claims
:
Updated:
Securities Consultancy Estimates That Non-Traded REITs Cost Investors $50 billion
:
Updated:
Centaurus Loses FINRA Arbitration Involving REITs, TICs and ICON Leasing Fund
:
Updated:
UBS Loses FINRA Arbitration Involving Puerto Rico Closed-End Fund (CEF)
:
Updated:
Inland American REIT Changes Name, Mackenzie Realty Offers $2 A Share In Tender
:
Updated:
Former Cadaret, Grant & Co. Broker Douglas William Findlay Suspended Over REIT Sales
:
Updated:
LPL Financial Fined $10 Million For Failure To Supervise Brokers
:
Updated:
FINRA Investigates Broker Christopher Veale’s Outside Business Practics Involving Legend Advance Funding (LAF)
:
Updated:
FINRA Sanctions OneAmerica Securities For Failure To Supervise Matthew Davis
:
Updated:
Ariel Hernandez, Former Liberty Partners Broker, Arrested For Alleged Theft From Customers
:
Updated:
Investors Over-Concentrated In Funds Exposed To Losses Due To Drops In Oil Prices May Have Viable Arbitration Claims
:
Updated:
FINRA Sanctions Popular Securities Over PR Municipal Bond Fund Sales
:
Updated:
Former Metlife Broker Derek Weaver Barred For Failure To Cooperate With FINRA Investigation
:
Updated:
FINRA Faults Sigma Financial’s Supervision of Stockbrokers
:
Updated:
Securities Lawyers Reviewing Investor Claims Involving ICON 11 and 12 and LEAF I-IV Leasing Funds
:
Updated:
State Securities Regulators Warn Of Prevalent Oil and Gas Investment Fraud
:
Updated:
Reuters Investigation Reveals Shocking Fail Rate Of Oil And Gas Investments Offered by Reef
:
Updated:
Unsuitable Recommendations Of Oil And Gas Royalty Trusts May Give Rise To Arbitration Claims S
:
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Ameriprise Broker Thomas Sharp Charged By FINRA With Misleading Communications Concerning Non-Traded REITs
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LPL Financial To Pay $541,000 To Settle Variable Annuity Switching Claim
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Former First Allied Broker Herbert Leonard Kaye Suspended By FINRA
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Kansas Broker Darrell W. Mikulencak Charged With Forgery
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Gambling Broker Donald Overbey, Jr. Sentenced for Defrauding Investors
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FINRA Disciplines Former VSR Financial Broker Steven L. Stahler Over Sales of REITs and Private Placements
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Former Raymond James Broker Jo Ellen Fisher Allegedly Set Up Client’s Account To Embezzle In Her Daughter’s Name
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FINRA Brings Suit Against Former Waddell & Reed Broker Jeffrey Meyer
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SEC Charges Admitted Criminal Broker With Stealing from Elderly & Blind Clients
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VSR Financial’s Alleged Lack of Supervision Leads to $3.74 Million Settlement
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FINRA Sanctions Broker Michael Zukowski for Recommending Unsuitable ETF Transactions
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FINRA Fines Minneapolis based Broker Feltl & Company for Inadequate Supervision Relating to Sales of Penny Stocks
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New York Brokerage Firm Newport Coast Securities, Representatives Charged with $1 Million Churning Violation
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Investor Files FINRA Arbitration Claim Against First Allied Regarding Private Equities
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FINRA Bars Wade James Lawrence from Financial Industry
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Ameriprise Told to Pay $1.17 Million to Elderly Couple after Unsuitable Real Estate Investment
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The Risk of Unregistered Investments like DCM Alpha Fund
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David Zeng, Most Recently of Merrill Lynch, is Barred from Financial Industry
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Supervisory Failure Leaves LPL Financial with Heavy Fines
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First Allied Securities Brokers Under Investigation for Allegedly Misleading Investors on Private Equities
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Equi-Vest, Accumulator Variable Annuity Investors Could Recover Losses
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Investors May Recoup Losses as SEC Charges Robert J. Vitale with Fraud
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More Claims Filed Against VSR Brokers for Unsuitable Alternative Investments
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Customers Could Recover Losses for Unsuitable MetLife Variable Annuity Recommendations
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ETF, ETN Investors Could Recover Losses
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Morgan Stanley Customers Could Recover Losses for Unsuitable Puerto Rico Bond Sales
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Pennsylvania Regulators Investigate Non-traded REIT Sales
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Two MetLife Brokers Accused of Unsuitable Variable Annuity Sales
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Have You Been the Victim of Investment Scalping?
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Claims Against Berthel Fisher for Unsuitable Sale of Alternative Investments Begin
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Unsuitable Alternative Investment Sales: LPL Customers Could Recover Losses
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Recovering Mortgage-backed Securities Losses
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Clients of 3 Rockwell Global Capital Financial Advisors Seek Damages for Churning, Unsuitable Recommendations
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Customers of James E. Neilsen Could Recover Promissory Note Losses
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Recent News Regarding Puerto Rican Bonds
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Berthel Fisher, Affiliate Fined Regarding Sales of ETFs and Non-traded REITs
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Investment Loss Recovery Regarding Florlena Cortez, Former Chase Broker
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Former VSR Financial Broker Allegedly Sold Unsuitable Alternative Investments
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Puerto Rico Investors Reportedly File Dozens of Cases Against UBS Financial Services of Puerto Rico Regarding Sales of Puerto Rico Closed-End Funds
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LaRue Customer Loss Recovery for Unsuitable Exchange-traded Fund Transactions Possible
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Número de inversionistas puertorriqueños entablando demandas incrementa
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Customers of Wade James Lawrence Could Recover Losses
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Have Your Loved Ones Been the Victims of Affinity Fraud?
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Oriental Financial Services Customers Could Recover Losses From Puerto Rico Closed-end Bond Funds
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Recovering Losses In Speculative U.S. Treasury STRIPS
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Losses Mount as Puerto Rico Bonds Downgraded to Junk Status
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Icon Leasing Fund Investors Could Recover Losses
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Victims of Robert G. Bard Could Recover Losses
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Wells II/Columbia Investors May Have Claims If Advisors Made Unsuitable Recommendations
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Loss Recovery: REIT Investors Suffer Significant Losses in 2013
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Variable Annuities Unsuitable for Many Investors, Especially Retirees
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Las defensas anticipadas en el caso en contra de UBS por los fondos puertorriqueños
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Como UBS incumplió sus deberes fiduciarios al vender los bonos puertorriqueños
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Unsuitable ETF Sales Lead to Restitution for Investors
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New Research Indicates Investors Already Lost Billions in Puerto Rico Bond Funds
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Nuevos estudios estiman pérdidas de alrededor de $1.66 mil millones durante los primeros nueves meses de 2013
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Investors Could Recover Losses for Unregistered Securities Fraud
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Securities Regulator FINRA Fines Brokerage Firm Stifel, Nicolaus For Alleged Unsuitable Leveraged ETF Sales
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¿UBS le cobró a los inversionistas de los fondos mutuos en exceso?
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¿Incumplirá Puerto Rico sus obligaciones?
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Wells Fargo Ordered to Buy Back $94 Million in Auction-rate Securities
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LPL Broker Barred for Improper Non-traded REIT Sales; Customers Could Recover Losses
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Unsuitable Sales of Managed-futures Funds
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Two JP Morgan Brokers Barred by FINRA for Theft of $300,000 from Elderly Client
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Exchange-traded Fund Investors Could Recover Losses
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Clients of UBS’ David Lugo Could Recover Losses
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CRL Management, Charles R. Langston III Investors Could Recover Losses
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SEC Investigates Two Firms for Failure to Disclose or Obtain Permission for Principal Transactions
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Unsuitable Recommendation of Non-traded REITs and Other Unsuitable Investment Products
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Elderly Seniors Targeted for Financial Fraud
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UBS Willow Fund Allegedly Deviated from Strategy, Declined 80%: Investors Could Recover Losses
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Preguntas y respuestas sobre las pérdidas de los fondos de UBS PR
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Inversionistas en los fondos cerrados de UBS Puerto Rico podrían entablar demandas contra UBS
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Declining Credit Ratings More Trouble for UBS Puerto Rico Bond Investors
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¿Habla español?
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Alleged Unsuitable Recommendations of Non-Traded REITs by Surevest, Others
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BBVA Securities of Puerto Rico Ordered to Pay $1.2 Million to Investors
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Customers of Wells Fargo Advisors, James Arnold Busch Could Recover Losses
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Merrill Lynch, Sentinel Securities Fined for Failure to Supervise
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Law Office of Christopher J. Gray Files Arbitration Claim on Behalf of UBS Puerto Rico Investor
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Oppenheimer, UBS, Fidelity Under Investigation Concerning Puerto Rico Bond Funds
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SEC Judge Decision In Ferrer Case Does Not Prevent Investors From Pursuing Claims Concerning UBS PR Closed-End Funds
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UBS Puerto Rico Fund Investors May Have Valid Arbitration Claims
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Massachusetts Orders $10.75 Million in Additional Restitution for Sales of Non-traded REIT
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SEC Charges ACI Capital Group Owner with Defrauding Investors
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Investors Could Recover Losses for Unsuitable Recommendation of Private Placements
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$7 Million Awarded to Investor in FINRA Auction-rate Securities Dispute
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Firm Fined for Allegations of Inadequate Supervision of Concentrated Client Positions in Alternative Investments
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Gray Firm Investigating Additional Claims Concerning UBS Puerto Rico Funds
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Recovery of Losses Sustained in Senior Secured Zero Coupon Notes
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Gray Firm Files FINRA Claim Concerning UBS Puerto Rico Fund Known As Puerto Rico Fixed Income Fund I
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UBS Allegedly Mislead CDO Investors, Ordered to Pay $50 Million by SEC
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Citigroup Held Liable for Investor Losses from Adviser’s Selling Away
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SEC Suspends 61 Companies as Possible Tools for Fraud
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Morgan Stanley Fined by FINRA
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Unsuitable Recommendations of Behringer Harvard Multifamily REIT I May Give Rise to FINRA Arbitration Claims
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Investigations into Unsuitable Sales of REITs, Variable Annuities by Royal Alliance Securities, LPL Financial Representatives
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Unsuitable Recommendation of ELKs Leads to Claims Against Citigroup
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Behringer Harvard REIT I is Now TIER REIT: New Name Doesn’t Solve Investor Problems
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Morgan Stanley Clients Who Suffered Losses in Non-traditional ETFs Could Recover Losses
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Securities Arbitration Investigations Continue as FINRA Files Formal Complaint Against Thompson National Properties
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Customers of Darrell Smith, Cetera Advisors Could Recover Losses
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SEC to Discuss Uniform Fiduciary Standard Rule for Brokers
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Harbinger, Philip Falcone Agree To Fines and Bar of Falcone to Settle SEC Charges
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Investors Could Recover Losses for TNP-Sponsored Investments
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15 Brokerage Firms Subpoenaed Over Alternative Investment Sales
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GenSpring Clients Could Recover Losses
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100 Percent Principal Protected Note Investors Could Recover Losses
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Investors Could Recover ATP Oil and Gas Note Losses
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Wells Fargo Ordered to Pay Investor $2.8 Million
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Scottrade Fined for Alleged Failure to Supervise $8.4 Million in Sales of Unregistered Stock
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UBS Allegedly Made Unsuitable Recommendation of Lehman Structured Products
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Steadfast Income REIT Investors Could Recover Losses
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UPS Employees with Leveraged, Concentrated Positions Could Recover Losses
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Clients of Barry George Hartman, Rocky Mountain Financial, Could Recover Losses for Alleged Unsuitable Recommendations of REITs
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Merrill Lynch Fined for Agent’s Unsuitable Trading
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CommonWealth REIT Shareholders Asked to Remove Directors; Investors Could Recover Losses
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Customers of Wendy J. Worchester, TNP Securities Could Recover Losses
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JP Morgan Policy Allegedly Conflicted with Best Interest of Customers
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Investors Could Recover Losses for Unsuitable Recommendation of Floating-rate Bank Loan Funds
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Customers of Blake B. Richards, Ameriprise, LPL Could Recover Losses
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ProEquities Investors Could Recover Losses for Inappropriate Sale of Non-traded REITs
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Non-traded REITs: Five Firms to Pay $7 Million in Massachusetts Settlement
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American Capital Agency, American Capital Mortgage REIT Investors Could Recover Losses
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VSR Financial Services Customers Could Recover Losses
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Five Brokerages Fined $9.6 Million For Alleged Improper Non-Traded REIT Sales
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Gray Firm Files Arbitrations Against LPL Financial Alleging Unsuitable Sales of Non-Traded REITs
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CommonWealth REIT Reappoints Board Member Who Was Ousted In Shareholder Vote
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InnerWorkings Investigated for Breach of Fiduciary Duty, Federal Securities Laws Violations Following Per-share Price Plunge
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