REITs

• Aug 1, 2024 Western International Securities Fined for REIT Supervisory Failures, Causing $2.5 Million in Excessive Trading Costs

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• May 1, 2024 FINRA Barred Former Independent Financial Group (IFG) Broker Brett Arthur Hartvigson of San Diego, California for Refusing to Cooperate With Its Investigation Into Allegations That Were Part of a Complaint. In 2021, While Associated With IFG, Brett Harvgi

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• Feb 5, 2024 JWE Investigating Peakstone Realty Trust fka Griffin Capital REIT Investment Losses

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• Feb 1, 2024 KBS REIT in Newport Beach Teeters on Brink of Failure

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• Jan 12, 2024 Austin Dutton's Unsuitable REIT Recommendations Harmed Customers, Says FINRA

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• Oct 6, 2023 Western International's Megurditch Patatian Loses Unsuitable REIT Recommendations Appeal

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• Sep 23, 2023 Best Interest Rule Violation Cited in Unsuitable REIT Recommendation and Overconcentration

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• May 10, 2023 Centaurus Financial's Donnie Ingram Sanctioned for Unsuitable UIT and REIT Recommendations

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• Nov 13, 2022 Pasadena-Based Western International Securities Fined $400k for Deficient REIT Supervision

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