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8 Feb 2021, 7:10 am
In 2019, GPB announced that the value of its funds were down significantly in value. [read post]
6 Feb 2021, 7:02 am
The company filed a form D to raise capital from investors for the offering Vinebrook Homes Trust Inc., a non-traded REIT. [read post]
6 Feb 2021, 6:46 am
NREA reportedly manages a publicly-traded REIT, NexPoint Residential Trust, Inc. [read post]
5 Feb 2021, 1:25 am
If the licensing status of the grantor of the funded participation no longer meets regulatory requirements in the jurisdiction in which the participated loan was entered into, a transfer of the loan which is subject to the funded participation may be required. [read post]
2 Feb 2021, 2:38 pm
The White Law Group Files FINRA Lawsuit against Triad Advisors December 2020 The White Law Group filed a FINRA Lawsuit against Triad Advisors Inc. [read post]
2 Feb 2021, 8:41 am
The post Investors Allege Charles Kulch of NEXT Financial Group, Inc. [read post]
2 Feb 2021, 7:41 am
His previous employers include Worden Capital Management LLC (CRD#:148366) and Legend Securities, Inc. [read post]
1 Feb 2021, 1:47 pm
The Securities & Exchange Commission (SEC) found that Bill Hightower was, while employed for Legacy Asset Securities, also the CEO of Hightower Capital Group (HCG). [read post]
29 Jan 2021, 3:37 am
Immortalana Inc., 158 A.D.3d 576, 577 (1st Dep’t 2018); Macquarie Capital (USA) Inc. v. [read post]
28 Jan 2021, 6:09 pm
Those duties depend on the context of the communication, and whether the communication is to an individual stockholder or to a group of stockholders. [read post]
27 Jan 2021, 11:22 am
After Ameriprise discovered her misconduct and fired her, Hsu founded American Capital Trading Group LLC and American Capital Republic, Inc., where she sought out and defrauded additional investors. [read post]
22 Jan 2021, 1:00 pm
Publicly-available forms filed with the SEC list the following firms as receiving sales compensation for selling The Parking REIT: Accelerated Capital Group; Centaurus Financial, Inc.; Coastal Equities, Inc.; Crown Capital Securities, L.P.; Forest Securities, Inc.; Great Point Capital LLC; NI Advisors; Sandlapper Securities, LLC; Whitehall-Parker Securities, Inc. [read post]
22 Jan 2021, 11:51 am
Tender Offer Price – $5.41 per share – Griffin-American Healthcare REIT III The White Law Group continues to investigate securities lawsuits involving the liability that broker dealers may have for improperly recommending non-traded REITs such as Griffin-American Healthcare REIT III Inc. to investors. [read post]
22 Jan 2021, 11:43 am
His previous employers include American Asset Advisory, LLC (CRD#:168444), Accelerated Capital Group (CRD#:41270, expelled by FINRA on 11/26/2019) and Longview Financial Group, Inc. [read post]
21 Jan 2021, 12:54 pm
I can’t remember seeing that happen before, and certainly not to a group of cases en masse. [read post]
19 Jan 2021, 9:22 am
FINRA Censures and Fines Growth Capital for Private Placements Rules Violations The White Law Group is investigating potential securities claims involving Growth Capital Services, Inc. [read post]
18 Jan 2021, 8:15 am
Armed groups shout about liberty and freedom, but whose? [read post]
15 Jan 2021, 1:48 pm
BlueCrest Capital Management Limited – In another enforcement action of international dimension, the SEC obtained a $170 million settlement from UK-based investment adviser BlueCrest Capital Management Limited over charges that it moved its top trades from its premier client fund to an in-house proprietary fund and then put the client’s funds under the control of an underperforming algorithm. [read post]
14 Jan 2021, 4:58 pm
Rosser Capital Partners, Enlightened Hospitality Investments, and Kitchen Fund were some examples of restaurant/hospitality-focused investment funds that, despite regularly making past investments, did not place an investment in Covid-era 2020 (with the exception of the Kitchen Fund participating in the buyout of the Sustainable Restaurant Group). [read post]
14 Jan 2021, 4:58 pm
Rosser Capital Partners, Enlightened Hospitality Investments, and Kitchen Fund were some examples of restaurant/hospitality-focused investment funds that, despite regularly making past investments, did not place an investment in Covid-era 2020 (with the exception of the Kitchen Fund participating in the buyout of the Sustainable Restaurant Group). [read post]
