Search for: "Bruce Kelly"
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11 Jul 2012, 12:19 pm
(See “Real estate big suspends interest payments on private placement,” by Bruce Kelly). [read post]
1 Jul 2011, 9:06 am
Raymond James Financial has agreed to buy back $300 million in auction-rate securities from clients and pay a fine of $1.7 million as part of a settlement the Securities and Exchange Commission and the states of Florida, Texas, Indiana, Missouri, New York, North Carolina, Pennsylvania and South Carolina, according to Bruce Kelly’s InvestmentNews article entitled “Raymond James to pony up $300M to buy back ARS. [read post]
4 Oct 2011, 8:02 am
At the same time, the number of non-traded REITs on the market is at an all-time high of 68, and sponsors are beating the bushes to keep them on the brokers’ shelves, according to Bruce Kelly’s InvestmentNews article, “Indies cut back on some REITs to lessen risk. [read post]
13 Oct 2013, 9:15 am
Walter Ng, his son Kelly Ng, and Bruce Horwitz, three real estate fund managers, have been charged with fraud for secretly using the assets of a new real estate fund to rescue an older, rapidly collapsing fund. [read post]
27 May 2022, 12:43 pm
SSEK Law Firm is Representing Investors Against Centaurus Financial In a recent InvestmentNews column, reporter Bruce Kelly discussed how broker-dealers and their financial advisors continued selling L Bonds to customers despite indications of possible troubles at GWG Holdings, Inc. [read post]
14 Oct 2009, 9:58 am
Scheiner of Associates and Bruce L. [read post]
8 Jun 2009, 1:00 pm
In particular, it was great to spend time with Bruce Carton, Francine McKenna, Scott Cohen, Matty Kelly and Alex Howard. [read post]
25 May 2010, 8:47 am
HighTower Advisors LLC, a high-profile, high-pedigree investment advisory firm, has been dogged by a series of investor and business lawsuits that could threaten its distinguished reputation, according to a recent article by Bruce Kelly in InvestmentNews. [read post]
29 Feb 2008, 8:30 am
Investment News journalist Bruce Kelly reported that "state securities regulators are worried that the recent emphasis on making U.S. capital markets more competitive could lead to the pre-emption of their power by federal regulators. [read post]
23 Apr 2009, 2:25 pm
AID=/20090413/REG/904139983/1094/INDaily01The firm has paid out a cumulative $1.6 millions in recent claimsBy Bruce Kelly April 13, 2009, 2:27 PM EST Morgan Keegan has been stung in another arbitration case involving its bond funds, this time losing a $950,000 claim to an ex-NFL Pro Bowl star with the Kansas City Chiefs.Jerome Woods, who played defensive back with the Chiefs from 1996 to 2005, is the sixth straight investor to win a… [read post]
5 Mar 2013, 12:18 pm
But as I understand it, there are 3 Kelly type last names at Notre Dame and 3 Kennedy's at HLS. [read post]
2 Mar 2010, 7:35 am
As a result of these "hardball" defense tactics, Morgan Keegan's legal costs have doubled and are consuming a significant chunk of the firm's revenue as a result of investigations by securities regulators and legal actions by aggrieved investors, according to an Feb. 25 article in InvestmentNews by Bruce Kelly. [read post]
16 May 2017, 8:28 pm
[Complaint] Kelly v. [read post]
2 Dec 2011, 1:27 pm
A recent article by Bruce Kelly of the investmentnews.com reported the opinion of Gordon Yale, a forensic accountant, who has served as an expert for dozens of investors who have brought claims against brokerage firms related to the sale of failed private placement investments issued by companies like DBSI, Inc., Medical Capital Financial Corp., and Shale (Provident) Royalties. [read post]
14 Jul 2009, 8:37 am
And John Kelly of the Washington Post bemoans the standard yet brain-dead corporate routine of forced password changes every X days. [read post]
21 Dec 2010, 10:07 am
The panel will include Compliance Week editor Matt Kelly, Francine McKenna (re: The Auditors) , Mike Koehler (aka the “FCPA Professor“), Francis Pileggi (Delaware corporate law guru), Kevin LaCroix (The D&O Diary), Tracy Coenen (The Fraud Files), Lyle Roberts (The 10b-5 Daily) and Securities Docket’s Bruce Carton. [read post]
2 Dec 2009, 7:49 am
Large brokerage firms like Merrill Lynch and Morgan Stanley Smith Barney are offering some of the highest recruitment bonuses ever offered – up to 330% of their previous year's fees and commissions – to entice reps who rank among the top fifth of their firms' producers to come to work for them, reported Bruce Kelly in his November 15 InvestmentNews article, “Warring wirehouses add fuel to hiring fire. [read post]
5 Nov 2009, 6:18 am
Illiquid, unregulated private placement investment offerings are worrying state regulators, who are charged with protecting the investing public from investment scams, according to a recent article in InvestmentNews by Bruce Kelly. [read post]
20 Oct 2009, 8:05 am
The threatened SEC enforcement action against The Charles Schwab Corp. relating to sales of its YieldPlus Fund increases the likelihood that Schwab will need to settle a class action and FINRA arbitrations involving the YieldPlus Fund, according to industry analysts, as reported by Bruce Kelly on October 18 in InvestmentNews. [read post]
28 Aug 2010, 3:29 pm
A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Raymond James & Associates, Inc. and one of its registered representatives to pay $925,000 to a Texas couple who purchased $1.4 million of municipal auction rate securities issued by Jefferson County, Alabama, according to August 26th articles in InvestmentNews by Bruce Kelly (“Raymond James pays more auction rate claims”) and in the Wall Street Journal by Suzanne Barlyn (“Raymond… [read post]
