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REITs

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November 13, 2022 Pasadena-Based Western International Securities Fined $400k for Deficient REIT Supervision
April 24, 2020 Brokerages Stop Risk-Laden REIT Sales After Massive Coronavirus Losses
February 13, 2019 Thomas E Burns Sanctioned for Alt Investment Mistakes at Crown Capital
January 23, 2019 FINRA's 2019 Exam Priorities Feature Senior Protections, Suitability, Outside Business Activities
December 10, 2018 FINRA Reports Problems with Overconcentration in REITs, Unsuitable Variable Annuity Recommendations
June 27, 2018 Kyusun Kim Barred for Unsuitable Recommendations of REITs and Alt Investments in Elderly Investors' Retirement Accounts
November 03, 2022 FINRA Slams Anaheim's Centaurus Financial for Supervisory Failure, Allowing Broker Donnie Ingram to Hire His Own Supervisor
June 15, 2022 Megurditch Patatian Barred for $8 Million of Unsuitable REIT & Variable Annuity Recommendations
January 27, 2022 Four United Development Funding Execs Guilty of Real Estate Fraud Scheme
November 22, 2021 Non-Traded Real Estate Investment Trusts: Recovering Damages when a Broker Unsuitably Recommends a REIT
April 12, 2021 Independent Financial Group Disciplined Over Concentrated Illiquid REIT Sales, Supervisory Failures
April 01, 2021 Adviser Who Instructed Elderly Customers to Sign Blank Documents and Lied on Forms to Effect Investments in High-Risk, High-Fee Products Sentenced to 17 Years in Prison
March 02, 2021 Megurditch Patatian Accused of Unsuitable REIT Recommendations Funded Through VA Surrenders
September 19, 2020 Voya Broker James Flynn Racks Up Suitability Complaints, Reportedly Flees to Caribbean
May 10, 2020 FINRA: LPL Financial Unsuitably Sold Elderly Clients Risky REITs After Broker Lied About Customers' Net Worth
May 01, 2020 Wells Fargo's Bryan Benson Barred After Investigation Into DPP Customer Complaint
March 25, 2020 Margin Trading and Complex Leveraged Products Could Amplify Losses During Coronavirus Commotione
March 24, 2020 Coronavirus Losses, Stock Market Decline Expose Fraudulent Schemes
January 15, 2020 NEXT Financial Group Fined for Unsuitable Non-Traded REIT Sales
December 31, 2019 Hicks Latest Broker Accused of Unsuitable High-Risk REIT and BDC Sales to Senior Citizen Investors
August 26, 2019 Ex-Cetera Broker Merhoff Racking Up Complaints After FINRA Bar
August 10, 2019 Cetera's Mengxuan 'Sharon' Zhang Sanctioned for Falsifying Customer Signature Pages
May 08, 2019 Jonathan W. Evans & Associates Announces Filing of FINRA Arbitration Claim Against Western International Securities & Dennis Albert Mehringer, Jr.
July 02, 2018 Massachusetts to Investigate Private Placement Sales & Related Practices at 10 Firms
April 10, 2018 Wells Fargo Wealth Management Investigated for Unsuitable Investments, Self-Dealing
February 15, 2018 Newbridge Could Face Philadelphia Public Employee Suits Alleging Millions in Damages
December 27, 2017 NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats
September 22, 2017 SII Investments Charged with REIT Supervisory Failures in Liquid Net Worth Overvaluations
September 19, 2017 With 33rd Disclosure Since 2002, Broker Tiffany Ann De Ruosi (Rigali), Criminal Record in Hand, is Suspended
August 29, 2017 John Kostic Sanctioned, Disgorgement Ordered for Unauthorized Private Securities Transactions
July 27, 2017 PA Fines Austin Dutton $200,000 & Newbridge $499,000 for Dishonest, Unethical Practices in Unsuitable REIT Sale
June 30, 2017 American Realty Capital Properties Ex-CFO Brian Block Guilty of Securities Fraud in Schorsch REIT Empire Crackdown; 50+ Firms Continued to Sell Related RCAP REIT After Financial Woes Became Public
June 09, 2017 FINRA Sanctions James Cox for Unsuitable VA Recommendations, Outside Business Activity, Misrepresentation, Mutual Funds
June 06, 2017 Ex-Ameriprise Broker Mark Francis Speakman Pleads Guilty to REIT Wire Fraud, Money Laundering
May 03, 2017 LPL Settles Over Non-Traded REIT Misconduct, Possible $8 Million Payout for Latest LPL Snafu
February 24, 2017 Excessive REIT, BDC Sales Charges Caused by Conflict-of-Interest Fraud Nets Purshe Kaplan Sterling Investments $3.4 Million Restitution Order, $750,000 Fine
February 14, 2017 Ex-Financial West Group Broker Kelly Clayton Althar Barred for Unsuitably Risky and Excessive Trading in Elder Client's Account that Resulted in $187,000 in Losses
January 26, 2017 New Complex Buffer Annuity Drawing Regulator's Interest: "Does the firm understand it? Does the rep?"
January 10, 2017 Complaint Alleges Kelly Althar's Unsuitable and Excessive Trading Caused $187,000 Loss in Elderly Client's Accounts
November 22, 2016 Jason Vanclef, VFG Securities Sanctioned for Making False Claims in Book Promoting REITs and DPP Investments
November 16, 2016 John Hudnall Barred for Selling Away a REIT Investment to Elderly BancWest Customer
October 20, 2016 JWE Investigating Ponzi-Like Scheme Involving UDF IV REITs as SEC Issues Wells Notice
September 07, 2016 Jerry McCutchen Barred in Connection with Over 20 Customer Complaints Alleging REIT & Alt Investment Unsuitability, Misrepresentations
August 24, 2016 Ex-LPL Financial & Crown Capital Broker Eric Kuchel Barred After Failing to Cooperate with Mutual Fund Investigation
August 11, 2016 Non-Traded REITs Failing in Face of Industry, Regulatory Challenges, High Commissions
June 30, 2016 WFG Advisors Fined, Censured $100k for Overcharging Customers in Alt Investment, REIT Sales
June 29, 2016 Anthony Diaz, a Repeat Offending Rogue Broker Under Federal Indictment for REIT Fraud, is Poster Child for Worrying Trend
May 05, 2016 FINRA Opens Investigation into John Hudnall for Alleged Improper REIT Sale to Senior, Annuity Violations & Selling Away
April 25, 2016 Customers Accuse LPL Financial and its Ex-Broker Karl Romero of Misrepresentation, Unsuitable Recommendations
March 31, 2016 Alfred Chan Fined & Suspended for Unauthorized Indexed Annuities Sales, REIT Risk Disclosure Failures
February 26, 2016 Firms That Sold 'Ponzi' UDF REITs May Be On the Hook in Wake of FBI Raid, SEC Investigation
February 18, 2016 FBI Raids United Development Funding in Investigation; UDF Shares Plummet
January 06, 2016 2016 FINRA Priorities Letter Includes Brokerage Firm Culture and Ethics, Suitability, Seniors, Complex Products
January 04, 2016 LPL Financial Ordered to Pay $750k for Improper REIT Sales to Elderly Client
October 16, 2015 Voya, Transamerica, Investacorp, JP Turner, National Planning & Cetera Fined for Excess REIT Sales Charges
September 24, 2015 FINRA Bars Willard Lee Golightly for Supervisory Failures over Excess Concentration in Illiquid Securities, REITs
June 24, 2015 SEC to Fight Financial Elder Abuse and Fraud by Upping Broker and Advisor Oversight in Retirement Accounts
May 06, 2015 FINRA Sanctions LPL Financial $11.7 Million for Major Supervisory Failures in ETF, REIT and VA Products
April 10, 2015 New Hampshire Regulator Seeks $3.6 Million from LPL for Unsuitable REIT Sales to Elderly Clients
February 12, 2015 Former Compliance Officer Suing Cabot Lodge for Firing After He Reported Firm Misconduct
November 18, 2014 RCS Capital Confirms SEC, FINRA and MA State Regulator Investigations over $23m Error
November 16, 2014 NASAA Names Top 9 Investor Threats for 2015
November 15, 2014 OC's Robert Klein, Other Brokers with History of Disciplinary 'Red Flags' Flocking to Hotspots for Misconduct, Elderly Investors
November 13, 2014 Fidelity, Pershing, Schwab Latest Firms to Suspend Schorsch REIT Sales over $23m Error
November 10, 2014 Massachusetts Regulator Investigating Schorsch's Realty Capital Securities, REIT Sales
November 06, 2014 Cetera Financial Group Broker-Dealer Network Suspends Some Nicholas Schorsch REITs
October 30, 2014 National Planning Holdings Halts American Realty Capital Nontraded REIT Sales over $23m Accounting Problem
October 15, 2014 Thomas David Sharp Fined and Suspended for Improper REIT E-mail Solicitations
June 06, 2014 Concentration Risk: The Implications of Putting All Your Eggs in One Basket
May 05, 2014 Popularity of Liquifying Home Equity, Cash-Out Refinancing Increases as Valuation Increases
March 25, 2014 LPL Financial Fined $950,000 for Concentration Violations in Alternative Investments, Non-Traded REITs Sales
February 25, 2014 Berthel Fisher & Co. Financial Services, Affiliate Fined $775,000 for Compliance Failures, Inappropriate Alternative Investment Sales
February 04, 2014 Proposed Rules Change Requires Firms to Issue Clearer Nontraded REIT Statements
January 30, 2014 SEC Issues Risk Alert Criticizing Advisors' Handling of Alternative Investments
January 23, 2014 SEC National Exam Program Issues Broker-Dealers Priorities List for 2014
January 15, 2014 Four Risky & Sometimes Dangerous Investments to Avoid in 2014
January 07, 2014 FINRA to Firms: Investment by Seniors Subject to Special Compliance Considerations
January 03, 2014 FINRA to Target Complex Investments Including REITs, ETFs and Mortgage Backed Securities in 2014 Exams
December 24, 2013 Gary J. Chackman Barred for Unsuitable Non-traded REIT Transactions
November 17, 2013 Dangerous Words: SEC Cautions Firms to Stop Using "Protected," "Guaranteed" in Fund Names
October 17, 2013 NASAA Calls Out New Scams, Rotates Five of Top 10 Investor Threats
September 18, 2013 Private Placement Offerings Require Research and Contemplation of Risk
September 11, 2013 Wendy Janeen Worcester Fined and Suspended for Multiple Due Diligence Failures
July 11, 2013 Massachusetts Investigation into REITs: Firms Targeting Seniors for High-Risk Products
May 22, 2013 FINRA: Firms Must Adhere to Industry Rules and Be Honest with Investors
May 04, 2013 Thomas Lloyd Kunkel Fined and Suspended for Unsuitable REIT Recommendations to Elderly and Unsophisticated Investor
April 23, 2013 Charles Chul Nam Barred, Ordered to Pay Restitution for Fraudulent REIT Scheme
March 24, 2013 LPL Financial Firm Under Fire and On Radar with Several Securities Regulators
February 06, 2013 Massachusetts Regulators Order LPL Financial to Pay $2 Million in Restitution
December 15, 2012 Massachusetts Securities Regulators Sue LPL Financial over Nontraded REIT Sales
November 26, 2012 David Lerner Associates to Pay $12 Million in Restitution in Connection with Inadequate Due Diligence, Excessive Markups
August 23, 2012 Investor Alert Issued: Non-Traded Real Estate Investment Trusts (REITs)
August 01, 2012 Erin Christine Ackerman Fined $20,000 and Suspended Until December 2013 for Poor Supervision, Resulting in Unsuitable Recommendations and Significant Customer Losses

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