Results for "real estate investment trusts (REITs)"

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New broker-dealer hires Realty Capital wholesalers to push into REIT market

April 19, 2016

S2K Financial, a new broker-dealer that plans on wholesaling nontraded real estate investment trusts to independent broker-dealers and their advisers, has hired 11 former Realty Capital Securities wholesalers and employees to round out its staff...

Finra's REIT rule to raise transparency on prices takes effect

April 11, 2016

Independent broker-dealers on Monday began to adjust to a revised industry rule intended to give investors a clearer picture of what they are paying for investments: a change to customer account statements regarding the value of illiquid investments...

A DOL fiduciary rule everyone can live with

April 10, 2016

For months, the Labor Department has been assuring members of the financial advice industry and other interested parties that it was listening to them and carefully considering the thousands of comment letters it received about its proposed...

DOL fiduciary rule a big win for nontraded REITs

April 6, 2016

Executives in the $10-billion-a-year nontraded real estate investment trust industry likely were doing handstands Wednesday morning after the Department of Labor released its streamlined final version of a regulation that would raise investment...

Broker-dealers that sold UDF REITs to face investor claims

February 24, 2016

Independent broker-dealers that sold the distressed series of UDF real estate investment trusts could soon be facing arbitration claims from angry investors, according to Alan Rosca, a plaintiff's attorney. The firms that have been most prominent...

Texas REIT subpoenaed after FBI raid

February 22, 2016

Management of distressed real estate investment trust United Development Funding IV — which a hedge fund claims is no more than a Ponzi scheme — has been subpoenaed to hand over company documents to a grand jury. The FBI last Thursday raided...

FBI raids offices of Texas REIT

February 18, 2016

The FBI on Thursday raided the suburban Dallas offices of a publicly traded real estate investment trust, United Development Funding IV. The firm, which also manages nontraded REITs, has seen its stock price fall 81% in the past two months after...

Small B-D's clients overly concentrated in illiquid alts: Finra

February 16, 2016

The Financial Industry Regulatory Authority Inc. last week filed a complaint against a small broker-dealer that allegedly generated almost 95% of its revenue from the sale of nontraded real estate investment trusts and other illiquid investments....

Dislocations give alt funds a chance to shine

February 14, 2016

Stock market volatility that has been giving investors and financial advisers so much angst over the past several weeks is having an entirely different effect on those who subscribe to the virtues of alternative-strategy mutual funds. While...

W.P. Carey CEO exits as company undergoes strategic review

February 11, 2016

In an unexpected move, the large net lease real estate investment trust and REIT manager W.P. Carey Inc. said Wednesday its CEO and a member of its board, Trevor Bond, was stepping down. He is being replaced by current Carey board member and...

Will Blackstone build or buy a nontraded REIT business?

February 9, 2016

With private equity giant The Blackstone Group potentially pushing its way into the nontraded real estate investment trust business, the question for many on Wall Street is whether Blackstone will make an acquisition of a current REIT sponsor...

Finra: Broker charged $11M in commissions for nontraded REITs and BDCs and lied about it

February 5, 2016

A broker has been charged by Finra for lying to a Native American tribe about the $11 million in commissions he charged when he sold the tribe $190 million in nontraded real estate investment trusts and business development companies. From June...

Blackstone considering getting into nontraded REIT market

February 4, 2016

Private equity giant The Blackstone Group is considering launching a nontraded real estate investment trust business that would both create and manage nontraded REITs for brokers and advisers to sell as well as market and wholesale those investments....

New Finra pricing rules for illiquid investments shaking up IBD industry

January 26, 2016

The Financial Industry Regulatory Authority Inc.'s new pricing rule for illiquid investment products is shaking up both the sponsors that create and issue products such as nontraded real estate investment trusts as well as the broker-dealers...

Questions burn for shareholders after RCAP's demise

January 10, 2016

Nicholas Schorsch and his partners a year and a half ago grossed nearly $100 million by selling shares of RCS Capital Corp., the soon-to-be defunct brokerage holding company he founded and that announced last Monday it would file a pre-arranged...

LPL faces heavy burden in complying with state settlements over REIT sales

December 22, 2015

A close reading of two of the recent state settlements with LPL Financial concerning the firm's poor supervision of the sale of nontraded real estate investment trusts shows the intense effort required to act in compliance with the orders and...

Raising the bar for nontraded REITs

December 20, 2015

Nontraded real estate investment trusts, the oft-criticized high-commission alternative investments sold primarily by independent broker-dealers, are under siege. After reaching record sales of nearly $20 billion in 2013, nontraded REITs may...

Texas REIT provides new details on charges that it is the victim of short sellers

December 15, 2015

United Development Funding IV, the Texas REIT hit by anonymous allegations late last week that it was operating like a Ponzi scheme, provided fresh details Monday on an unnamed hedge fund or funds that it claims have been illegally distorting...

Third Avenue rattles the junk bond market

December 14, 2015

Third Avenue Management's unprecedented move last week of blocking investor redemptions from its junk-bond fund has clearly rattled the bond markets, but it doesn't mean this is the end of days for fixed income investors. Try not to freak out...

Cantor Fitzgerald to hire nearly 30 RCS wholesalers

December 11, 2015

Renowned bond shop Cantor Fitzgerald & Co. is muscling its way into the nontraded real estate investment trust business and is hiring up to 28 former Realty Capital Securities wholesalers to lead the effort, according to two sources with knowledge...

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