Search for: "Portfolio Investment Exchange, Inc."
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8 Aug 2018, 9:08 am
Some of these include their client’s ages, net worth, investment objectives and investment portfolio risk tolerance, among others. [read post]
11 Jan 2023, 11:01 am
Inc. for disclosure failures concerning GPB Automotive and GPB Holdings due to potential investment fraud. [read post]
3 Feb 2015, 6:42 am
F-Squared –builds mutual fund portfolios consisting of exchange traded funds (ETFs) for the Virtus mutual funds. [read post]
3 Jul 2012, 11:16 am
The claims were brought by two entities that had entered into contractual relationships to serve as independent sales representatives on behalf of Sun Capital portfolio company ACT Electronics, Inc. [read post]
19 Apr 2023, 6:19 am
In December 2022, Insight Securities Inc. [read post]
22 Mar 2017, 9:09 am
Suffered losses investing in Healthcare Trust Inc.? [read post]
22 Feb 2023, 4:00 am
SEC Release 2023-35 summarizes the SEC's findings and the sanctions imposed:The Securities and Exchange Commission today announced charges against Ensign Peak Advisers Inc., a non-profit entity operated by The Church of Jesus Christ of Latter-day Saints to manage the Church’s investments, for failing to file forms that would have disclosed the Church’s equity investments, and for instead filing forms for shell companies that obscured… [read post]
13 Dec 2023, 11:00 pm
Lightstone Value Plus REIT II, Inc. [read post]
21 Oct 2010, 6:53 am
Source: National Association of Real Estate Investment Trusts, Inc. [read post]
3 Nov 2020, 10:29 am
REITs are concentrated real estate investments and should only play a small role in an investor’s otherwise well-managed, diversified portfolio of investments. [read post]
29 Jun 2018, 3:13 pm
Last year, we reported on a case in which the Securities and Exchange Commission (SEC) was pursuing charges against a Chicago investment advisor, Daniel H. [read post]
12 Feb 2013, 11:30 am
The investment advisor, Nicholas Rowe (and his firm, Focus Capital Wealth Management Inc of Bedford, New Hampshire), was apparently found liable in a case that had alleged negligence, civil fraud, and other misdeeds. [read post]
15 Jun 2012, 12:28 pm
If you are an investor that has suffered losses investing with OppenheimerFunds Inc., please contact one of our attorneys at 312-332-0000 to discuss your recovery option. [read post]
26 Mar 2018, 10:40 am
Unlike exchange traded REITs, non-traded REITs do not trade on a national securities exchange, and therefore cannot be readily sold and resold on a liquid exchange. [read post]
22 Mar 2018, 12:43 pm
According to an Order Instituting an Administrative Cease and Desist against Horter brought by the Securities and Exchange Commission (SEC) last year, Horter Investment Management was accused of making misstatements to clients concerning F-Squared Investments, Inc. [read post]
10 Mar 2017, 9:50 am
Healthcare Trust Inc. invests in multi-tenant medical office buildings and owns an 8.4 million-square-foot portfolio of 163 properties with a total purchase price of $2.3 billion. [read post]
30 Jun 2018, 12:48 pm
Forrest was formerly associated with American Portfolios Financial Services, Inc. [read post]
24 Feb 2023, 2:00 pm
Securities and Exchange Commission (SEC) charged the Church of Latter-day Saints for obscuring its investment portfolio and failing to disclose a multi-billion dollar investment fund. [read post]
29 Aug 2016, 4:00 am
Public Citizen, Inc. has filed an amicus brief in support of the U.S. [read post]
22 Sep 2018, 10:40 am
In addition, The Securities and Exchange Commission (SEC) charged Maccoll with defrauding his brokerage customers out of nearly $4 million in an investment scam. [read post]
