Fox News and others recently reported that UBS planned a mass mailing to brokerage clients alerting them that they would be reclassified as “aggressive” investors[...]
Investment News
The Securities and Exchange Commission recently charged Richard K. Olive and Susan L. Olive, husband and wife, with defrauding senior citizens in connection with the[...]
The Securities and Exchange Commission recently charged Jesse Litvak, a former executive at New York-based broker-dealer Jefferies & Co., with defrauding investors while selling mortgage-backed[...]
Investment News reports that in a recent letter to broker-dealer executives, real estate investor Leo Wells said that his firm, Wells Real Estate Funds, would[...]
Data from 2012 FINRA arbitration proceedings shows what investor advocates long suspected: all public arbitrators are more beneficial to investor claimants. In particular, investor claimants[...]
Traditionally, non-traded real estate investment trusts (“REITs”) have been sold by independent broker-dealers who focus on retail clients and do not maintain large investment banking[...]
Sonn Law Group recently filed a FINRA arbitration claim against NFP Securities, Inc., on behalf of an elderly retired woman who lost more than $500,000[...]
The Daily Business Review reports that lawyers for Ruden McClosky, a now-defunct Florida law firm, settled a malpractice lawsuit brought by a group of South[...]
Behringer Harvard REIT I, a $4.4 billion real estate investment trust, has been sued in the U.S. District Court for the Northern District of Texas[...]
The Securities and Exchange Commission has recently charged former Ernst & Young Entrepreneur of the Year Claudio Osorio with misleading investors as well as misappropriating[...]