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Recent Posts in Business Development Corporations (BDCs) Category

Excessive REIT, BDC Sales Charges Caused by Conflict-of-Interest Fraud Nets Purshe Kaplan Sterling Investments $3.4 Million Restitution Order, $750,000 Fine

FINRA ordered Purshe Kaplan Sterling Investments to pay $3.4 million in restitution to a Native American tribe that paid excessive sales charges on fraudulent non-traded real estate investment trust ...
Continue reading "Excessive REIT, BDC Sales Charges Caused by Conflict-of-Interest Fraud Nets Purshe Kaplan Sterling Investments $3.4 Million Restitution Order, $750,000 Fine" »

WFG Advisors Fined, Censured $100k for Overcharging Customers in Alt Investment, REIT Sales

The SEC fined WFG Advisors $100,000 for overcharging clients in alternative investments, including REITs and BDCs due to inadequate policies and procedures to prevent overcharging. SEC Proceeding ...
Continue reading "WFG Advisors Fined, Censured $100k for Overcharging Customers in Alt Investment, REIT Sales" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
Located at 12711 Ventura Boulevard, Suite #440 Studio City, CA 91604. View Map
Phone: (800) 699-1881 | Local Phone: (818) 760-9880.
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