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23 Sep 2014, 2:01 pm
On September 22, 2014, the Securities and Exchange Commission (the “SEC”) charged private equity fund adviser, Lincolnshire Management, Inc. [read post]
16 Jun 2020, 10:06 am
Oaktree Real Estate Income Trust, Inc., non-traded REIT, reportedly seeks to invest in “a diversified portfolio of income-producing real estate and real estate-related debt investments,” according to its website. [read post]
26 Jul 2018, 11:41 am
The Securities and Exchange Commission (SEC) filed a complaint alleging that Oregon-based investment firm Aequitas Management, LLC (Aequitas Management) and its subsidiaries operated a Ponzi-like scheme that defrauded its 1,500 customers of approximately $350 million. [read post]
16 Nov 2015, 10:11 am
(Mosaic Enterprises), Mosaic Investment Partners, Inc. [read post]
18 Jul 2017, 5:35 am
Are you worried about your investment losses in Healthcare Trust Inc.? [read post]
12 Apr 2022, 7:30 am
High Risk Non-Traded REITs – Illiquid Investment Non-traded REITs such as Strategic Student & Senior Housing Trust do not trade on a national securities exchange, and are therefore illiquid products that can be difficult to sell. [read post]
13 Apr 2020, 9:52 am
The post Kalos Capital Inc. [read post]
27 Feb 2012, 8:10 pm
In Fort Properties, Inc. v. [read post]
26 Oct 2018, 12:44 pm
The Orders allege that AEGON USA Investment Management LLC, Transamerica Asset Management, Inc., Transamerica Capital, Inc., and Transamerica Financial Advisors, Inc., marketed various products and investment strategies that used a “proprietary quant model” while failing to verify whether the models functioned as intended and without disclosing known risks connected with the models. [read post]
26 Jun 2019, 12:56 pm
According to the SEC’s complaint, the two unregistered investment advisers and their companies claimed to acquire, oversee, and resell companies that offered technologies and services for the investment portfolios of the healthcare funds at issue. [read post]
16 Nov 2016, 8:33 am
ETFs are usually registered investment companies whose shares represent an interest in a portfolio of securities that track an underlying benchmark or index. [read post]
15 Jul 2016, 12:44 pm
Weiss and his firm, Family Endowment Partners (FEP), along with relief defendants MIP Global Inc., Mosaic Enterprises Inc., Mosaic Investment Partners Inc., and Weiss Capital Real Estate Group, LLC. [read post]
31 Jul 2020, 10:00 am
The SEC went on to detail that one of VALIC’s “primary goals” was to sell teachers their proprietary investment products, including fixed and variable annuities and a portfolio management product that charged an add-on advisory fee. [read post]
5 May 2009, 11:17 am
Renato Negrin, a former portfolio manager at hedge fund investment adviser Millennium Partners L.P., and Jon-Paul Rorech, a salesman at Deutsche Bank Securities Inc., are charged with insider trading in credit default swaps of VNU N.V., an international holding company that owns Nielsen Media and other media businesses. [read post]
23 Nov 2011, 6:04 am
Securities and Exchange Commission (SEC) announced that Randall Merk (Merk), former Executive Vice President of Charles Schwab & Co., Inc. and President of Charles Schwab Investment Management, has agreed to pay a $150,000 fine to settle charges brought against him in connection with Schwab's YieldPlus Fund. [read post]
9 Dec 2021, 12:42 pm
Inland Real Estate Income Trust, Inc. acquires and manages a portfolio of commercial real estate investments located in the United States, according to Bloomberg. [read post]
20 Jun 2017, 8:41 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]
16 Nov 2016, 8:33 am
ETFs are usually registered investment companies whose shares represent an interest in a portfolio of securities that track an underlying benchmark or index. [read post]
16 Nov 2016, 8:33 am
ETFs are usually registered investment companies whose shares represent an interest in a portfolio of securities that track an underlying benchmark or index. [read post]
4 Apr 2014, 6:26 am
Beck, Inc., on behalf of a client accusing the investment advisory firm of making unsuitable recommendations and failing to properly supervise one of its representatives. [read post]
