Search for: "Cole Retail, Inc."
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18 Dec 2023, 2:48 pm
On November 20, 2023, the Securities and Exchange Commission (“SEC”) charged Payward Inc. and Payward Ventures Inc., together known as Kraken, with operating Kraken’s trading platform as an unregistered securities exchange, broker, dealer, and clearing agency. [read post]
1 Dec 2023, 1:16 am
ArciTerra Note Fund I LLC ArciTerra Note Fund II LLC ArciTerra Note Fund III LLC ArciTerra Opportunity Fund I LLC Arciterra Strategic Income Corp ArciTerra Strategic Retail II, LLC ArciTerra Strategic Retail REIT, Inc. [read post]
20 Oct 2023, 2:40 pm
Cole-Frieman & Mallon LLP was also a proud sponsor of the Help For Children 2023 Denver Golf Tournament in Littleton, Colorado on September 22, 2023. [read post]
27 Aug 2023, 7:49 pm
The SEC alleged that Western International and the brokers recommended and sold L Bonds to retail customers, many of whom were on fixed incomes and had moderate risk tolerances, despite the issuer, GWG Holdings, Inc., stating the L bonds were “high risk, illiquid, and only suitable for customers with substantial financial resources. [read post]
20 Jul 2023, 10:44 am
On June 6, 2023, the SEC charged Coinbase, Inc. and Coinbase Global, Inc. [read post]
15 Dec 2022, 8:00 am
District Court for the District of New Hampshire granted the SEC’s motion for summary judgment against LBRY, Inc., holding that LBRY offered a crypto asset in violation of the registration provisions of federal securities laws. [read post]
15 Dec 2022, 4:00 am
District Court for the District of New Hampshire granted the SEC’s motion for summary judgment against LBRY, Inc., holding that LBRY offered a crypto asset in violation of the registration provisions of federal securities laws. [read post]
19 Aug 2022, 6:30 am
Securities and Exchange Commission, on Saturday, August 13, 2022 Tags: Asset management, Index funds, Institutional Investors, Investment advisers, Investor protection, PCAOB, Retail investors, SEC, Securities regulation Should Your Company Go Private? [read post]
19 Aug 2022, 6:30 am
Securities and Exchange Commission, on Saturday, August 13, 2022 Tags: Asset management, Index funds, Institutional Investors, Investment advisers, Investor protection, PCAOB, Retail investors, SEC, Securities regulation Should Your Company Go Private? [read post]
13 Jul 2022, 3:55 am
According to new filings with the SEC, CIM has sold the remaining property in its $1.3 billion sale of 81 open-air shopping centers to The Necessity Retail REIT Inc. [read post]
13 Jul 2022, 3:55 am
According to new filings with the SEC, CIM has sold the remaining property in its $1.3 billion sale of 81 open-air shopping centers to The Necessity Retail REIT Inc. [read post]
17 Jun 2022, 7:23 am
According to a press release on June 16, 2022, the Securities and Exchange Commission charged registered broker-dealer Western International Securities, Inc. and five of its brokers – Nancy Cole, Patrick Egan, Andy Gitipityapon, Steven Graham, and Thomas Swan – with violating Reg BI (Regulation Best Interest) when they recommended and sold bond offerings from GWG Holdings, an unrated, high-risk debt security to retirees and other retail investors. [read post]
16 Jun 2022, 8:53 am
The Securities and Exchange Commission today charged registered broker-dealer Western International Securities, Inc. and five of its registered representatives, or brokers – Nancy Cole, Patrick Egan, Andy Gitipityapon, Steven Graham, and Thomas Swan – with violating Best Interest Obligation regulations (commonly referred to as Regulation Best Interest or Reg BI) when they recommended and sold unrated, high-risk debt security known as L Bonds to retirees and… [read post]
18 Jan 2022, 12:04 am
Comrit now reportedly owns a total of approximately 2.3 million shares, or 0.6 percent of the outstanding.CIM Real Estate Finance Trust Inc, formerly known as Cole Credit Property Trust IV (CCPT IV) is a publicly registered non-traded REIT invested in net lease and multi-tenant retail assets as well as real estate loans and other credit investments.In December 2020, the company merged with two other affiliated CIM Group non-… [read post]
8 Dec 2021, 11:27 am
” For purposes of the Form ADV Part 3, a “retail investor” means a natural person, or the legal representative of such natural person, who seeks to receive or receives services primarily for personal, family, or household purposes. [read post]
8 Dec 2021, 7:27 am
” For purposes of the Form ADV Part 3, a “retail investor” means a natural person, or the legal representative of such natural person, who seeks to receive or receives services primarily for personal, family, or household purposes. [read post]
1 Nov 2021, 1:04 am
CIM Real Estate Finance Trust Inc, formerly known as Cole Credit Property Trust IV (CCPT IV) is a publicly registered non-traded REIT invested in net lease and multi-tenant retail assets as well as real estate loans and other credit investments. [read post]
15 Oct 2021, 9:17 am
Plaid Announces New Tools to Make It Easier for Developers to Scale FasterDigital Transactions News – October 15, 2021 As part of its strategy to support application developers, open-banking platform provider Plaid Inc. [read post]
15 Oct 2021, 9:17 am
Plaid Announces New Tools to Make It Easier for Developers to Scale FasterDigital Transactions News – October 15, 2021 As part of its strategy to support application developers, open-banking platform provider Plaid Inc. [read post]
23 Sep 2021, 10:58 am
CIM Income NAV Inc., formerly known as Cole Real Estate Income Strategy Inc., is a publicly registered non-traded REIT focused on shopping centers, retail, industrial and distribution, and office properties, according to its website. [read post]
