Posts belonging to Category Tenant-in-Common Interests
Posted by Page PerryonApril 26, 2011
Securities regulators all agree that exploitation of retirees is a significant and growing problem. According to the U.S. Securities and Exchange Commission, 40 million Americans are age 65 or older, and that number will be 89 million in 2050. Seniors make up 15% of the U.S. population but 30% of fraud victims.
Categories: Asset Backed Securities, Brokerage Firms, Common Securities Broker Abuses, Early Retirement Scams, Elder Abuses, Exchange-Traded Funds (ETFs), Investigations, Investment Advisers, Investor Alerts, Life Policies/Viatical Settlements, Private Investments/Reg D, Promissory Notes, Regulatory Developments, Reverse Convertibles, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Structured Notes, Tenant-in-Common Interests, Variable Annuities and Equity-Indexed Annuities
Posted by Page PerryonApril 7, 2011
Broker-Dealers are pushing back against FINRA’s attempt to cap commissions on private offerings, also known as Reg D offerings. Most of these offerings are very high risk, involve high commission payments and high fees. Thus serious concerns have developed about whether such investments are sold to investors because they are viable investments or because they […]
Categories: Brokerage Firms, Investment Advisers, Investor Alerts, Private Investments/Reg D, Regulatory Developments, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Tenant-in-Common Interests
Posted by Page PerryonApril 7, 2011
InvestmentNews has reported that FINRA has issued the first in an anticipated series of sanctions against broker-dealers and executives of firms who sold private placements in two alleged Ponzi schemes. The actions were taken against Workman Securities Corp and Askar Corp for deficient investigation and due diligence associated with the sale of high risk investments.. […]
Categories: Brokerage Firms, Common Securities Broker Abuses, Elder Abuses, Investment Advisers, Investor Alerts, 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 PerryonFebruary 23, 2011
First it was Florida and the Southwest watching their housing prices plummet, now Seattle, Atlanta and Minneapolis have followed suit. The ongoing correction has yet to end as the housing market goes into a double-dip cycle. Mortgage applications are at a 15-year low. These developments do not bode well for the rest of the winter […]
Categories: Asset Backed Securities, CDOs, Commercial Mortgage Backed Securities, Derivatives, Economy, Investment Advisers, Market Developments, Mortgage Backed Securities, Mortgage Securities & Collateralized Debt Obligation Problems, Private Investments/Reg D, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Tenant-in-Common Interests
Posted by Page PerryonFebruary 21, 2011
National Securities Corp. is the latest broker-dealer in FINRA’s crosshairs over the sale of fraudulent private placements, according to Bruce Kelly’s InvestmentNews article titled “Finra goes after yet another B-D in private-placement crackdown.”
Categories: Brokerage Firms, Common Securities Broker Abuses, Investment Advisers, Investor Alerts, Private Investments/Reg D, Regulatory Developments, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Tenant-in-Common Interests
Posted by Page PerryonFebruary 19, 2011
Real estate prices across the country are dropping even further according to the S&P/Case-Shiller Index. As reported on CNNMoney.com by staff writer Les Christie, recent results show prices in all 20 key cities dropped 1.3% for an annualized decline of 15%. Six markets reached their lowest price levels since the beginning of the bust in […]
Categories: Brokerage Firms, CDOs, Commercial Mortgage Backed Securities, Derivatives, Economy, Investment Advisers, Market Developments, Mortgage Backed Securities, Mortgage Securities & Collateralized Debt Obligation Problems, Private Investments/Reg D, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Tenant-in-Common Interests
Posted by Page PerryonFebruary 7, 2011
QA3 Financial Corp. will apparently join approximately twenty-four other brokerage firms that have shut down over the past twelve months. The firm announced that it will cease operations effective February 11, 2011, according to Bruce Kelly’s InvestmentNews article, “B-D down: QA3 to close up shop next week.” The announcement was made by owner and CEO […]
Categories: Brokerage Firms, Common Securities Broker Abuses, Investment Advisers, Market Developments, Ponzi Schemes, Private Investments/Reg D, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Tenant-in-Common Interests
Posted by Page PerryonFebruary 4, 2011
The Financial Industry Regulatory Authority (FINRA) is examining sales of opaque and illiquid private investments with a critical eye, according to Bruce Kelly’s InvestmentNews article, “Private deals at top of FINRA’s hit list.”
Categories: Brokerage Firms, Common Securities Broker Abuses, Exchange-Traded Funds (ETFs), Investigations, Investor Alerts, Private Investments/Reg D, Regulatory Developments, Reverse Convertibles, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Structured Notes, Tenant-in-Common Interests
Posted by Page PerryonJanuary 18, 2011
Anton Troianovski’s WSJ article, “Ruling Offers a Peek Into Boom’s Fallout,” shows how individual investors, many of them retired and seeking safe income, were victim’s of both the commercial real estate bubble and, more particularly, promoters and sellers of tenant-in-common (or TIC) interests in commercial real estate. One of the big promoters was a company […]
Categories: Brokerage Firms, Common Securities Broker Abuses, Investment Advisers, Investor Alerts, Private Investments/Reg D, Securities, Securities/Commodities Arbitration, Securities/Commodities Litigation, Smart Investing Tools, Tenant-in-Common Interests
