Results for "real estate investment trusts (REITs)"

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ARCP class action investors get 50 cents on the dollar: Attorneys

October 7, 2019

The $1 billion settlement last month between investors and the real estate investment trust formerly known as American Realty Capital Properties Inc. included an unusually large recovery for the claimants of close to fifty cents on the dollar,...

Voya Financial Advisors settles with more than a dozen clients of former broker

September 27, 2019

Voya Financial Advisors Inc. is cleaning up the mess a former broker created by investing clients heavily in nontraded real estate investment trusts and variable annuities. The ex-broker, James T. Flynn, was registered with Voya Financial Advisors...

Real estate always in style for the rich

September 20, 2019

Whether it's buying a waterfront home, a publicly traded real estate investment trust, an apartment complex or investing in a trophy high-rise building, wealthy Americans need and want real estate exposure. The ability of real property to provide...

Robert Moore is back. And he's focused on REITs

September 18, 2019

After leaving as the CEO of Cetera Financial Group earlier this year for undisclosed health reasons, Robert "R.J." Moore has returned to the financial services industry. In his latest venture, Mr. Moore has launched an investment management...

Nicholas Schorsch's former flagship REIT settles with investors for $1 billion

September 9, 2019

The company formerly known as American Realty Capital Properties Inc., a real estate investment trust founded by Nicholas Schorsch and rocked by an accounting scandal five years ago, announced a $1 billion settlement Monday. The company, now...

Brokerage customers winning more Finra arbitration cases

August 13, 2019

The number of Finra arbitration cases has declined through the first half of the year, but customer victories have increased. Financial Industry Regulatory Authority Inc. arbitration statistics posted on the regulator's website show there were...

Nick Schorsch returns to public view, this time to settle up with the SEC

July 19, 2019

For the past few years, financial advisers and brokerage industry executives have bombarded me with the same question: Whatever happened to Nick Schorsch? Where did the nontraded REIT czar go? I'm sure many InvestmentNews readers could never...

Finra panel awards investors $1.16 million over sales of REITs, other complex products

July 17, 2019

Finra arbitrators awarded six investors $1.16 million in a case in which they alleged Berthel Fisher & Co. Financial Services Inc. sold them inappropriate complex investments. The three-member, all-public Financial Industry Regulatory Authority...

Schorsch, AR Capital to pay $60 million to settle SEC charges

July 16, 2019

Nicholas Schorsch, the former nontraded real estate investment trust czar who in his heyday raised billions of dollars annually from retail investors, and his firm AR Capital agreed to pay $60 million in penalties to settle Securities and Exchange...

David Lerner Associates' financial condition deteriorates

July 10, 2019

David Lerner Associates Inc., once known for its radio ads selling municipal bonds, reported in a recent regulatory filing that its financial condition had deteriorated in 2018. The filing with the Securities and Exchange Commission, an annual...

Broker-dealer pays $9.5 million to settle alternative investment claims by Native American tribe

June 26, 2019

Purshe Kaplan Sterling Investments will have to pay $9.5 million related to the sale of alternative investments to a Native American tribe in Michigan, according to a recent filing with the Securities and Exchange Commission. The independent...

Consider the alternative

April 8, 2019

Think about the characteristics that make a strong portfolio: diverse, cost-efficient, tax-efficient, risk-managed. These qualities should be true of every portfolio, no matter the size or an individual's risk profile. The clients we meet with...

Brian Block continues his legal fight to stay out of prison

March 21, 2019

Convicted of securities fraud almost two years ago, Brian Block's fight to stay out of prison turned the page this week as he lost his bid for a new trial in federal court, but appealed to a higher venue for another attempt to prove his innocence....

Active vs. passive: The case for both

January 22, 2019

Vanguard founder Jack Bogle started the debate about active versus passive investing when he created the first index fund in 1975. Hundreds of additional index funds, countless studies and one historic recession later, passive investing has...

LPL continues to grapple with email, exam and alternative investment snafus

January 7, 2019

LPL Financial was fined a total of $490,000 last month by two states for its alleged failure to review emails of its brokers, failure to conduct yearly exams of branch offices, and misclassification of nontraded REITs and BDCs, which are alternative...

Finra exams find fault with sales of variable annuities, nontraded REITs and private placements

December 7, 2018

Variable annuities, nontraded REITs and private placements are among the primary areas in which brokerage firms and their representatives have demonstrated lax compliance, according to a new Finra report detailing recent examination findings....

Finra arbitrators award $1 million to retirement investors in fraud involving Texas REIT

November 9, 2018

Finra arbitrators awarded eight retirement investors more than $1 million in a case involving unsuitable investments in a Texas real estate investment trust. The plaintiffs alleged that IMS Securities Inc., a now-defunct brokerage that operated...

Paul Allen's $26 billion estate could take years to unravel

October 18, 2018

Paul Allen's family office will live long and prosper. The billionaire's vast holdings at Vulcan Inc. -- with real estate, art, sports teams and venture capital stakes -- would take years to unravel, if that's even what he wanted. Mr. Allen,...

Settlements at old Schorsch REIT could cost shareholders $730 million

October 3, 2018

Vereit Inc., a net lease real estate investment trust, could be on the hook for as much as $730 million in settlement payments stemming from an accounting scandal four years ago when the company was controlled by Nicholas Schorsch, the former...

Galvin orders SII to pay restitution on nontraded REIT sales

September 7, 2018

Massachusetts Secretary of the Commonwealth William Galvin banged away Friday on another independent broker-dealer for sales of nontraded real estate investment trusts, this time ordering SII Investments Inc. to pay money back to clients who...

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