Articles Posted in FINRA

Following settlements with the Financial Industry Regulatory Authority (FINRA), stock fraud lawyers say Charles Schwab and Fidelity investors could recover losses through securities arbitration. Fidelity reportedly has agreed to pay a $375,000 fine in a settlement with FINRA over allegations that the firm committed sales violations from December 2006 through December 2008 involving the Fidelity…

According to securities arbitration lawyers, investors who suffered significant losses as a result of their losses in the KBS REIT still may recover those losses through securities arbitration following the withdrawal of a class action against KBS REIT. Plaintiff George Steward led investors in suing KBS REIT in May. Allegations stated that misrepresentations about the…

Since the writing of the previous blog post “Dividend Capital Total Realty Trust Non-traded REIT Investors Could Recover Losses,” investment fraud lawyers have received communication from investors related to their concerns about the value of their shares. Reportedly, the quarterly dividend rate of these shares is 5.23 percent and the new price of each share…

Stock fraud lawyers are currently investigating claims on behalf of investors who suffered significant losses as a result of their investment in a Highland Floating Rate Fund. The sales literature for this fund understates the risk of the fund when it states that the funds seek “capital preservation and the management of credit risk while…

Investment fraud lawyers are currently investigating claims on behalf of investors who suffered significant losses as a result of their investment in ArciTerra National REIT. According to ArciTerra National REIT’s Form D filing with the Securities and Exchange Commission, ArciTerra is a real estate investment trust based in Phoenix, Arizona. REIT Investments like the ArciTerra…

Securities fraud attorneys are currently investigating claims on behalf of investors who suffered significant losses as a result of their investment in a private placement offered by Penneco Drilling Associates. Penneco Drilling Associates is, according to its Form D filing with the Securities and Exchange Commission, an oil and gas development company. Penneco Drilling Associates…

Securities fraud attorneys are currently investigating claims on behalf of investors who suffered significant losses as a result of their investments in Cypress Leasing private placements. Based in San Francisco, California, Cypress Financial Corporation is an equipment leasing company. The company’s website states that Cypress’s investments are in long-lived core equipment assets and that these…

Securities fraud attorneys are currently investigating claims on behalf of investors who suffered losses as a result of their investment in Bradford Drilling or Bradford Exploration. Bradford Exploration is, according to its Form D filing with the Securities and Exchange Commission, an oil and natural gas development company based in Buffalo, New York. Bradford Drilling…

Stock fraud lawyers are currently investigating claims on behalf of investors who suffered significant losses as a result of their investment in Mewbourne Energy Partners or Mewbourne Oil. Based in Tyler, Texas, Mewbourne Energy Partners is, according to its Securities and Exchange Commission Form 10-Q filing, an oil and gas development company. Beginning May 1,…

Investment fraud lawyers are currently investigating claims on behalf of investors who suffered losses as a result of their investment in Whitestone REIT. Whitestone REIT was previously known as Hartman Commercial Properties REIT, and was a non-traded, publicly offered REIT. Shares of Hartman REIT were first offered to investors in 2004 through stock brokerage firms.…