Non Traded Real Estate Investment Trust Archives - Page 2 of 2 - FrankowskiFirm Blog Posts

FINRA December 2015 Disciplinary Actions: Part II

archive.php

Wunderlich Securities, Inc. (Memphis, TN) submitted an AWC in which the firm was censured and fined […]

by Richard FrankowskiFINRA, Press Releases & NewsDecember 28 2015 Texas REIT Plummets Following Ponzi Allegations

archive.php

Stock in United Development Funding IV has gone into a free fall following a report published […]

by Richard FrankowskiFraud, Press Releases & News, SECDecember 14 2015 RCAP Shutting Down Wholesaling REIT Division After Fraud Charges, Drop In Sales

archive.php

RCS Capital Corp. (“RCAP”) announced this week that it is closing its wholesaling brokerage division following […]

by Richard FrankowskiFraud, Press Releases & NewsDecember 3 2015 AR Capital Halts Creation Of New Nontraded REITs

archive.php

AR Capital, the massive real estate investment trust sponsor established by Nicholas Schorsch, will cease creating […]

by Richard FrankowskiPress Releases & NewsNovember 17 2015 FINRA Fines Six IBDs For Failing To Discount Large REIT Sales

archive.php

Voya Financial Advisors Inc., Transamerica Financial Advisors Inc. and four other independent broker-dealers failed to give […]

by Richard FrankowskiFINRA, Press Releases & NewsOctober 15 2015 Former Broker, Robert K. Smith, Under Investigation

archive.php

Robert Keith Smith, formerly a broker with Berthel Fisher, has been accused by more than ten […]

by Richard FrankowskiBroker Check, FINRA, Press Releases & NewsAugust 4 2015 LPL Financial Fined $11.7M For ‘Widespread Supervisory Failures’

archive.php

FINRA ordered LPL Financial to pay $11.7 million in fines and restitution for what it called […]

by Richard FrankowskiPress Releases & NewsMay 13 2015