Tag: unsuitable investments
Recovery of Canyon Creek (Sunwest Management) TIC Investment Losses
Have you suffered investment losses in a Canyon Creek Development Inc., Canyon Creek Financial LLC or Sunwest Management Inc. tenants in...
FINRA Continues their Focus on Non-traded REITs
FINRA released an investor alert for public non-traded REITs “to help investors understand the benefits, risks, features and fees of...
“Supervisory Failures” Cost Merrill Lynch $1 Million
According to the Financial Industry Regulatory Authority (FINRA), “it has fined Merrill Lynch, Pierce, Fenner & Smith Inc., $1...
“Selling Away” a Concern for Regulators, Investors and Brokerage Firms
According to the investmentnews.com, “Stockbrokers who sell products that promise high returns without the approval of their...
FINRA Proposes More Changes to Protect Investors in Non-traded REITs
According to the investmentnews.com, FINRA has “…proposed changes to its Rule 2340, which governs customer account statements....
Two Former Edwards Jones Brokers Accused of “Selling Away” into a Ponzi Scheme
According to the investmentnews.com the FBI is handling a criminal investigation into Gibraltar Partners, which allegedly, along with other...
