Tag: securities regulation
Independent Broker-Dealers Sell Fewer Non-traded REITs
According to a recent article on the investmentnews.com website, some independent broker-dealers are permitting their representatives to...
SEC Complaint: Richard A. Finger, Jr., Black Diamond Securities
According to Forbes.com, the Securities and Exchange Commission has filed a complaint against Richard A. Finger, Jr. and his broker-dealer,...
REITs with a Debt/Equity Ratio at Risk?
Anand Chokkavelu recently wrote an interesting opinion piece for The Motley Fool about REITs that may be in trouble if regulations of REITs...
Class Action Lawsuit against Morgan Keegan & Co.
Class Action Lawsuit Loses the Appeal of its Dismissal According to the investmentnews.com “The U.S Court of Appeals for the Sixth...
Jeffrey Liskov, EagleEye Asset Charged with Fraud
According to a CFTC press release, “The CFTC filed a civil complaint charging Jeffrey Liskov and his company, EagleEye Asset Management,...
FINRA Panel Rules Against Wedbush Morgan Securities
According to multiple media outlets, a FINRA arbitration panel recently ruled against Wedbush Morgan Securities and their former Advisor...
