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Regulatory

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News |Industry |Regulatory | Mar 18 2014

Jacob Frydman, Chairman and CEO of United Realty Trust, Shares His Thoughts on FINRA-2014-006

The direct investment industry is anxiously awaiting future communications from the SEC regarding FINRA-2014-006…

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News |Regulatory |FINRA | Feb 24 2014

Fined $775,000! FINRA Slaps Berthel Fisher

FINRA in a statement today, announced that it has fined Berthel Fisher and an affiliate…

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News |Regulatory |SEC | Jan 29 2014

SEC issues an alert - Due Diligence

The SEC alerted investment advisors to carefully conduct due diligence on alternative investments…

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News |Regulatory |FINRA | Jan 03 2014

FINRA’s focus for 2014

FINRA, in a letter to members, communicated its 2014 regulatory and examination priorities…

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News |Regulatory |FINRA | Dec 30 2013

FINRA Awards investors $900k for claims related to non-traded REIT investments

In a recent FINRA arbitration case, several investors claimed breach of fiduciary duty, common law fraud, breach of contract, violation of…

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News |Regulatory | Dec 27 2013

The IPA responds to Wall Street Journal Article “A Murky Real Estate Market Comes into Focus”

If you read the Wall Street Journal (WSJ), you may have caught “A Murky Real-Estate Market Comes into Focus” by Robbie Whelan…

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