Month: February 2013
Large Award: Leveraged and Inverse exchange-traded funds
According to a report in Reuters, an investment adviser must pay a total of $1.8 million to a group of investors in a securities...
Update on Securities Fraud Investigation Involving Dividend Capital REIT
Dividend Capital Total Reality Trust Inc. operates as a non-traded REIT that began by providing investment opportunity in high-quality...
Yield Chasing – Current Wave of Securities Fraud Litigation
According to a report in the New York Times, regulators across the country are confronting a wave of investor fraud that is saddling...
Securities Fraud Investigation Involving Reef Oil and Gas
Concerned about investment losses in Reef Oil and Gas? Many individuals have experienced devastating losses in their investments in Reef...
LPL ordered to pay restitution over nontraded REIT sales.
According to reports, LPL Financial has been ordered by the Massachusetts Security Division to pay restitution of more than $2 million to...
FINRA Announces Focus on Risks of Certain Tax-Exempt Bonds
According to reports, the Financial Industry Regulatory Authority’s municipal market priority this year will be to ensure that...
