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20 Apr 2021, 3:03 pm
The GPB funds were marketed to independent broker-dealers and investment advisers who would in turn sell the GPB funds to their retail investors. [read post]
6 Feb 2021, 7:02 am
Brokers have an obligation to make investment recommendations that are consistent with their clients risk tolerance, net worth, investment objectives and experience in the market. [read post]
21 Nov 2020, 5:56 am
The White Law Group is investigating potential securities claims involving broker-dealers who may have unsuitably recommended Cytori Therapeutics Inc. to investors. [read post]
17 Oct 2009, 8:53 pm
He is also barred from associating with any dealers or brokers for five years. [read post]
22 Jan 2021, 12:13 pm
His previous employers include Morgan Stanley Smith Barney (CRD#:149777) and Citigroup Global Markets Inc. [read post]
11 Dec 2020, 6:15 am
The White Law Group continues to investigate potential securities fraud claims involving broker-dealers’ improper recommendation that investors purchase high-risk non-traded REIT investments, like NorthStar Healthcare Income, Inc.. [read post]
28 Apr 2011, 6:35 am
As a result, regulators are stepping up their oversight of private placements and the broker/dealers that market and sell them to investors. [read post]
4 Mar 2010, 10:44 pm
The broker-dealer will redeem 60 of the accounts with ARS. [read post]
31 Aug 2023, 8:09 am
The Securities and Exchange Commission today announced settled cease-and-desist proceedings against broker-dealer Citigroup Global Markets Inc. [read post]
2 Aug 2017, 3:15 pm
Financial Industry Regulatory Authority’s claims that they failed to have adequate risk controls Deutsche Bank Securities Inc., Citigroup Global Markets Inc., J.P. [read post]
23 Aug 2023, 11:03 am
FINRA is the self-regulator who oversees brokers and broker-dealers. [read post]
6 Aug 2020, 10:22 am
The White Law Group is investigating potential securities claims involving FINRA registered broker dealers who may have unsuitably recommended high risk non-traded REITs such as Cantor Fitzgerald Income Trust Inc. [read post]
8 Apr 2014, 3:45 pm
According to InvestmentNews, broker-dealer Berthel Fisher & Co. [read post]
7 Jul 2017, 8:12 am
According to their website, NorthStar Securities, LLC is the broker-dealer affiliate of Colony NorthStar, Inc. [read post]
18 Apr 2017, 7:27 am
The White Law Group is investigating potential securities fraud claims involving broker-dealers’ improper recommendations. [read post]
26 Jan 2018, 12:53 pm
The White Law Group is investigating potential claims involving broker dealers who may have unsuitably recommended high risk private placement investments such as Baqua Inc. [read post]
8 Apr 2013, 12:32 pm
On March 26, the Staff of the Division of Trading and Markets of the SEC provided no-action letter relief from the broker-dealer registration requirements of the Securities Exchange Act of 1934 to FundersClub Inc. and its wholly-owned subsidiary in connection with their internet based, Rule 506 compliant securities offerings. [read post]
26 Jan 2018, 10:29 am
– $10.00/share The White Law Group continues to investigate potential claims involving broker dealers who may have unsuitably recommended Hospitality Investors Trust Inc. to investors. [read post]
5 Jan 2018, 10:10 am
Secondary Market Listing – Hospitality Investors Trust Inc. [read post]
27 Oct 2022, 6:05 am
(MPW) The White Law Group is investigating potential securities claims involving broker dealers who may have improperly recommended Medical Properties Trust Inc to investors. [read post]
