Month: September 2016

FINRA Issues Investor Alert on Non-Traded REIT’s

In a recent investor alert, the Financial Industry Regulatory Authority (FINRA) issued an Investor Alert warning investors of the problems associated with non-traded Real Estate Investment Trusts (REIT’s). The investor alert noted that these investments could be plagued with numerous problematic features including the following: Illiquidity and inability to sell these holdings given the lack […]

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Whistleblower and Qui Tam Recoveries

A number of civil recovery provisions under Federal and State Law, as well as the rules and procedures of the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission afford workers significant rights and the potential for substantial monetary awards. Over the years, whistleblowers have played a crucial role in routing out corruption […]

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