Posts belonging to Category Tenant-in-Common Interests
Posted by Page PerryonNovember 28, 2011
Broker-dealers that sold billions of dollars in fraudulent private placements, such as Medical Capital and Provident Royalties notes, “failed massively in their due diligence responsibilities to investors” according to Gordon Yale, a CPA and expert witness in securities fraud cases. (See “Private-placement due diligence ‘sloppy,’” Investment News). They grossly misrepresented investigations into the investments and […]
Categories: A General Overview, Alternative Investments, Brokerage Firms, CDOs, Common Securities Broker Abuses, Fairness/Just & Equitable Conduct, Investigations, Investment Advisers, Investment Malpractice, Investor Alerts, Mortgage Backed Securities, Mortgage Securities & Collateralized Debt Obligation Problems, Nontraded REITs, Private Investments/Reg D, Promissory Notes, Regulatory Developments, Securities, Securities America, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Tenant-in-Common Interests
Posted by Page PerryonOctober 21, 2011
Many investors in alternative investments are in for unpleasant surprises. Alternative investments are very popular these days, as traditional stock and bond investments are not doing well. Alternative Investments include a wide variety of investments that fall outside the traditional stock and bond categories. Examples include structured products (such as principal protected notes and reverse […]
Categories: Alternative Funds, Alternative Investments, Asset Backed Securities, Brokerage Firms, CDOs, Common Securities Broker Abuses, Derivatives, Elder Abuses, Exchange-Traded Funds (ETFs), Hedge Funds, High Yield (Junk) Bonds, Investigations, Investment Advisers, Investor Alerts, Life Policies/Viatical Settlements, Nontraded REITs, Peer to Peer Loans, Preferred Stocks, REITs, Reverse Convertibles, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Structured Notes, Tenant-in-Common Interests
Posted by Page PerryonSeptember 7, 2011
Many registered investment advisors and brokerage firms have increased their use of alternative investments for clients, many of whom are retired and lack the knowledge and sophistication to understand the complex investments, according to Liz Skinner’s InvestmentNews article entitled “Clients clamoring for alternative investments and advisers obliging.” But are alternative investments suitable for most investors? […]
Categories: Alternative Investments, Brokerage Firms, Common Securities Broker Abuses, Derivatives, Early Retirement Scams, Elder Abuses, Hedge Funds, Investigations, Investment Advisers, Investor Alerts, Nontraded REITs, Preferred Stocks, Reverse Convertibles, Securities, Structured Notes, Tenant-in-Common Interests, Variable Annuities and Equity-Indexed Annuities
Posted by Page PerryonAugust 26, 2011
The association of state securities regulators known as NASAA has released its top 10 investment traps. NASAA finds that scam artists are peddling various get-rich-quick schemes to take advantage of the economic uncertainty. According to NASAA, investments that investors should be particularly wary of include distressed real estate schemes, energy investments, gold and precious metal […]
Categories: Affinity Fraud, Brokerage Firms, Common Securities Broker Abuses, Early Retirement Scams, Elder Abuses, Investigations, Investment Advisers, Investor Alerts, Life Policies/Viatical Settlements, Nontraded REITs, Peer to Peer Loans, Ponzi Schemes, Private Investments/Reg D, Promissory Notes, Regulatory Developments, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Tenant-in-Common Interests
Posted by Page PerryonJuly 18, 2011
Many non-traded (private) REITs are very dangerous for retail investors. These investments typically charge extremely high fees, are illiquid and are virtually impossible to value. Many non-traded REITs have routinely been valued at their original cost on reports provided to investors when such valuations are highly suspect given the tumultuous conditions that have existed in […]
Categories: Alternative Investments, Brokerage Firms, Common Securities Broker Abuses, Early Retirement Scams, Elder Abuses, Investigations, Investment Advisers, Investor Alerts, Nontraded REITs, Private Investments/Reg D, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Tenant-in-Common Interests
Posted by Page PerryonJune 30, 2011
The Securities and Exchange Commission is scrutinizing of the selling of real estate investment trusts that are private placements, that is, are not traded on an exchange, according to an Wall Street Journal article by Anton Troianovski and Craig Karmin entitled “Nontraded REITs Are Put on Notice by SEC.” The SEC is inquiring into the […]
Categories: Brokerage Firms, Common Securities Broker Abuses, Elder Abuses, Investigations, Investment Advisers, Investor Alerts, Nontraded REITs, Private Investments/Reg D, Regulatory Developments, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Tenant-in-Common Interests
Posted by Page PerryonJune 16, 2011
The drum beat goes on for broker-dealer closings, as MCL Financial Group Inc. of Santa Ana, California, another small broker-dealer that sold a lot of illiquid alternative investments, has gone the way of QA3 Financial Corp., Jesup & Lamont Securities Corp., GunnAllen Financial Inc., Securities Network LLC, Omni Brokerage Inc., and WFP Securities, according to […]
Categories: Brokerage Firms, Common Securities Broker Abuses, Investigations, Investment Advisers, Investor Alerts, Nontraded REITs, Private Investments/Reg D, Promissory Notes, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Tenant-in-Common Interests
Posted by Page PerryonJune 7, 2011
The list of independent broker-dealers that sold private offerings and are now out of business, is impressive. The private offerings include Provident Royalties LLC, Medical Holdings Inc., and DBSI Inc. So far, the list of B-Ds that have closed since 2010 includes, but is not limited to, QA3 Financial Corp., Jesup & Lamont Securities Corp., […]
Categories: Brokerage Firms, Common Securities Broker Abuses, Investment Advisers, Investor Alerts, Nontraded REITs, Private Investments/Reg D, Promissory Notes, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Tenant-in-Common Interests
Posted by Page PerryonJune 6, 2011
Richard Ketchum, chairman and chief executive of the Financial Industry Regulatory Authority (FINRA) admonished broker-dealers that sell risky private placements under the Regulation D exemption to conduct more vigorous due diligence, following up on red flags and “pushing and pulling” for information about the products, according to Bruce Kelly’s InvestmentNews article entitled “Finra’s Ketchum: B-Ds […]
Categories: Brokerage Firms, Common Securities Broker Abuses, Investigations, Investment Advisers, Investor Alerts, Private Investments/Reg D, Promissory Notes, Regulatory Developments, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Tenant-in-Common Interests
Posted by Page PerryonJune 1, 2011
Fraudulent acts make headlines nearly every day. But when fraud occurs amongst friends and family, the violation really “hits home” ? perhaps even in the most literal sense. Unfortunately, it is surprising how callous or devious some people can be, even the people trusted the most.
Categories: Affinity Fraud, Bonds, Brokerage Firms, Common Securities Broker Abuses, Early Retirement Scams, Elder Abuses, Investment Advisers, Investor Alerts, Ponzi Schemes, Private Investments/Reg D, Promissory Notes, Regulatory Developments, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Tenant-in-Common Interests