REITs

Posts In REITs

FINRA Slams Anaheim's Centaurus Financial for Supervisory Failure, Allowing Broker Donnie Ingram to Hire His Own Supervisor Nov 03
Regulators filed a complaint against both Donnie Ingram and Centaurus Financial, alleging the ...
View Article
Megurditch Patatian Barred for $8 Million of Unsuitable REIT & Variable Annuity Recommendations Jun 15
One year after FINRA Enforcement filed a complaint alleging ex-Western International Securities ...
View Article
Four United Development Funding Execs Guilty of Real Estate Fraud Scheme Jan 27
A jury convicted Real Estate Investment Trust (REIT) management firm United Development Funding's ...
View Article
Non-Traded Real Estate Investment Trusts: Recovering Damages when a Broker Unsuitably Recommends a REIT Nov 22
Although stocks and bonds often take center stage in brokerage services, riskier securities ...
View Article
Independent Financial Group Disciplined Over Concentrated Illiquid REIT Sales, Supervisory Failures Apr 12
FINRA censured and fined Independent Financial Group (IFG) $200,000 for failing to supervise a ...
View Article
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 Apr 01
A Department of Justice press release announcing ex-financial adviser Anthony Diaz's 17-year prison ...
View Article