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Posts tagged "General Investment News"

Valuations of Unlisted Real Estate Investment Trusts and Direct Participation Programs - Boca Raton, Florida REIT and DPP FINRA Arbitration and Litigation Attorney

SEC Order Approving FINRA Rule Change Relative to How Member Firms are Required to Calculate the Value of Unlisted Real Estate Investment Trusts and Direct-Participation Programs:

The Sec has approved FINRA's plan to overhaul how member firms calculate the value of unlised real estate investment trusts ("REITs") and direct-participation programs ("DPPs").  Under the new rules - specifically FINRA Rule 2310 - the firms will be required to include on customer account statements a per-share estimated value for any unlisted REIT and DPP securities that they have reason to believe is reliable.  

Mutual Fund - Boca Raton, Florida Mutual Fund Unsuitability and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney

Mutual Fund Unsuitability and Breach of Fiduciary Duty - Boca Raton, Florida FINRA Arbitration and Litigation Attorney.

A mutual fund is a fund operated by an investment company that raises money from shareholders and invests in bonds, options, currencies, money market securities, futures, or stocks.  Mutual funds are offered by prospectus.  The prospectus describes, among other things, the investment objectives of the mutual fund, the types of investments within the fund, the investment strategies utilized by the fund managers and the risks associated therewith.

Alejandra Gandara - Florida Unapproved Outside Business Activity and Account Executive Negligent Supervision FINRA Arbitration and Litigation Attorney

South Florida Broker/Dealer Negligent Supervision, Breach of Fiduciary and Unapproved Outside Business Activity FINRA Arbitration and Litigation Attorney:

Nonpublic Information - South Florida Securities and Investment Nonpublic Information FINRA Arbitration and Litigation Attorney

Nonpublic Information Florida Securities and Investment Fraud, Misrepresentation and Omission FINRA Arbitration and Litigation Attorney:

Hybrid Elder and Senior Financial Exploitation and Abuse - South Florida Senior, Elder and Retirement Abuse and Exploitation Litigation, FINRA Arbitration and Probate Estate Attorney

Hybrid Senior, Elder and Retirement Financial Abuse and Exploitation Arbitration, Litigation and Probate Estate Attorney, Russell L. Forkey, Esq.

Hybrid financial exploitation.

Insurance Policy (Contract) Misstatement or Omission - South Florida Insurance and Investment Fraud and Misrepresentation Litigation and Arbitration Attorney

South Florida Insurance Dispute and Litigation Attorney:

FAQ Regarding Interpretation of Insurance Contracts, Including Annuity Contracts - South Florida Insurance Litigation and Arbitration Attorney

FAQ's Relative to the Interpretation of all Types of Insurance Contracts, Including Variable and Fixed Annuity Insurance Contracts - Florida Insurance Litigation and Arbitration Attorney:

Prohibited Activities of Corporate Officers and Directors - Florida Corporate Misconduct Litigation and Arbitration Attorney

Prohibited Activities of Corporate Officers and Directors - Broward and Palm Beach County, Florida Corporate Misconduct Litigation and Arbitration Attorney:

General Features of Indexed Annuities - South Florida Indexed Annuity Misrepresentation and Fraud Litigation and FINRA Arbitration Attorney

Florida Indexed Annuity Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney:

FAQ's Annuities - South Florida Fixed and Variable - Deferred and Immediate Annuity Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney

Florida Fixed and Variable - Deferred and Immediate Annuity - Fraud and Misrepresentation Litigation and FINRA Arbitration Attorney:

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