SLCG Economic Consulting's Logo

Resources

Blog

Our experts frequently write blog posts about the findings of the research we are conducting.

Filter by:

Displaying 11-20 out of 24 results for "Latest Non-Traded REIT Valuations: Not Good".

SLCG Study on Competitiveness of Canadian Market for Securities

Investment Industry Association of Canada Releases SLCG Study on Competitiveness of Canadian Market for Securities Data

SLCG was recently hired by the Investment Industry Association of Canada (IIAC) to investigate and write a report about the competitiveness in the market for securities data in Canada.

Canadian securities data costs have more than doubled since the mid-1990s. The IIAC alleged that these costs increases were not due to any improvement in technology or quality. SLCG...

Joint SEC and FINRA Press Release: Structured Products

The SEC and FINRA Issue Joint Press Release on Structured Products

The Security and Exchange Commission (SEC) issued a press release today jointly with the Financial Industry Regulatory Authority (FINRA) dealing with structured products with "principal protection" - so called "principal protected notes." This press release announced that an investor alert had been issued to educate and warn investors about the substantial risks associated with investing in structured products.

FINRA's...

FINRA Press Release: Non-Traded REITs

FINRA Charges David Lerner & Associates Over Sale of Non-traded Apple REITs

The Financial Industry Regulatory Authority (FINRA) issued a press release yesterday in which it announced that it had

"filed a complaint against David Lerner & Associates, Inc. (DLA), of Syosset, NY, charging the firm with soliciting investors to purchase shares in Apple REIT Ten, a non-traded $2 billion Real Estate Investment Trust (REIT), without conducting a reasonable investigation to determine whether...

FINRA Press Release: Subprime Securitizations

FINRA Fines Credit Suisse Securities $4.5 Million and Merrill Lynch $3 Million for Misrepresentations Related to Subprime Securitizations

The Financial Industry Regulatory Authority (FINRA) issued a press release today announcing that

"it has fined Credit Suisse Securities (USA) LLC $4.5 million, and Merrill Lynch $3 million for misrepresenting delinquency data and inadequate supervision in connection with the issuance of residential subprime mortgage securitizations...

FINRA Investor Alert: Stock-Based Loan Programs

Stock-Based Loan Programs: What Investors Need to Know

The Financial Industry Regulatory Authority (FINRA) published an Investor Alert on the risks and rewards of non-recourse stock-based loans, loans which are given to borrowers who pledge fully paid securities as collateral to the lenders. This collateral is the only recourse the lenders have with which to reclaim the loans from the borrowers. The lender holds the securities during the period of the loan and returns them - with profits...

SEC Press Release: Assigned Credit Ratings

SEC Seeks Public Comment to Assist in Study on Assigned Credit Ratings

The Securities and Exchange Commission (SEC) issued a press release today announcing that it had requested

for public comment on the feasibility of a system in which a public or private utility or a self-regulatory organization would assign a nationally recognized statistical rating organization (NRSRO) to determine credit ratings for structured finance products.

The SEC's effort is mandated by the Dodd-Frank...

SEC Press Release: Fraudulent Bidding Practices

SEC Charges UBS with Fraudulent Bidding Practices Involving Investment of Municipal Bond Proceeds

The Securities and Exchange Commission (SEC) issued a press release today announcing that it had

"charged UBS Financial Services Inc. (UBS) with fraudulently rigging at least 100 municipal bond reinvestment transactions in 36 states and generating millions of dollars in ill-gotten gains. To settle the SEC's charges, UBS has agreed to pay $47.2 million that will be returned to the...

FINRA Press Release: Principal Protected Notes

FINRA Fines UBS Financial Services $2.5 Million; Orders UBS to Pay Restitution of $8.25 Million for Omissions That Effectively Misled Investors in Sales of Lehman-Issued 100% Principal-Protection Notes

The Financial Industry Regulatory Authority (FINRA) issued a press release today announcing that

"it has fined UBS Financial Services, Inc., $2.5 million, and required UBS to pay $8.25 million in restitution for omissions and statements made that effectively misled some investors...

FINRA Press Release: Private Placements

FINRA Sanctions Two Firms and Seven Individuals for Selling Private Placements Without Conducting a Reasonable Investigation

The Financial Industry Regulatory Authority (FINRA) issued a press release today announcing that

"it has sanctioned two firms and seven individuals for selling interests in private placements without conducting a reasonable investigation. The companies whose securities were sold in these private placements were unrelated to the firms and individuals FINRA...

SEC Press Release: Mortgage Backed Securities

SEC Announces Securities Laws Violations by Wachovia Involving Mortgage-Backed Securities

The Securities and Exchange Commission (SEC) issued a press release today announcing that

"Wells Fargo Securities LLC [had] agreed to settle charges that Wachovia Capital Markets LLC engaged in misconduct in the sale of two collateralized debt obligations (CDOs) tied to the performance of residential mortgage-backed securities as the U.S. housing market was beginning to show signs of distress...

24 Results

Display: