SEC News
- SEC Charges Chicago-Area Father and Son Conducted Cherry-Picking Scheme at Investment Firm May 16, 2013FOR IMMEDIATE RELEASE2013-90 Washington, D.C., May 16, 2013 — The Securities and Exchange Commission today charged a father and son and their Chicago-area investment advisory firm with defrauding clients through a cherry-picking scheme that garnered them nearly $2 million in illicit profits, which they spent on luxury homes, vehicles, and vacations. Addition […]
- SEC Names Keith F. Higgins as Director of Division of Corporation Finance May 15, 2013FOR IMMEDIATE RELEASE2013-89 Washington, D.C., May 15, 2013 — The Securities and Exchange Commission today named Keith F. Higgins as the new director of the agency’s Division of Corporation Finance. Mr. Higgins comes to the SEC from the law firm of Ropes & Gray LLP where he is a partner in its Boston office with 30 years of experience advising public com […]
- SEC Names Lona Nallengara as Chief of Staff May 15, 2013FOR IMMEDIATE RELEASE2013-88 Washington, D.C., May 15, 2013 — The Securities and Exchange Commission today announced that Lona Nallengara has been named the agency’s chief of staff. Mr. Nallengara came to the SEC in March 2011 and served as deputy director for legal and regulatory policy in the Division of Corporation Finance until he was appointed in Decemb […]
- SEC Charges China-Based Executives in Scheme to Overstate Revenues and Divert Money for Personal Use May 15, 2013FOR IMMEDIATE RELEASE2013-87 Washington, D.C., May 15, 2013 — The Securities and Exchange Commission today charged husband-and-wife executives at a China-based company with engaging in a scheme to overstate the company’s revenues and divert proceeds from a securities offering for their personal use. Additional Materials SEC Complaint The SEC alleges that RIN […]
- SEC, FINRA Issue Investor Alert On Pension or Settlement Income Streams May 9, 2013FOR IMMEDIATE RELEASE2013-86 Washington, D.C., May 9, 2013 — The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) today issued an investor alert entitled Pension or Settlement Income Streams – What You Need to Know Before Buying or Selling Them. The investor alert informs investors about the risks involved when selli […]
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26
Doug Mirabelli, Ex-Red Sox backstop, Wins $1.2M in Damages from Merrill
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In a January 25th., 2012, article from InvestmentNews.com, the staff writes that Former Boston Red Sox catcher and two-time World Series winner Doug Mirabelli, who made a nice career of being the preferred backstop to knuckleballer Tim Wakefield, finally saw a pitch even he couldn’t handle.
In March 2008, the same month he was released by the Red Sox, Mirabelli and his wife invested $880,219 with Bank of America Merrill Lynch adviser Phil Scott and took out loans that brought their account value to $1.8 million, according to an article in The New York Times. Scott put the money into the Merrill Lynch Phil Scott Team Income Portfolios, a bundle of 33 dividend-paying growth stocks. The loans were made on the condition that the account not dip below $1 million.
The InvestmentNews.com article goes on to say that by November, the Mirabellis’ account had dropped below that level, and they liquidated it to cover the loans. The Mirabellis argued in arbitration that Scott had put his client’s money into unsuitable, all-growth-stock investments and improperly briefed the couple on the loans and their requirements.
This arbitration panel ruled in favor of the Mirabellis and awarded them $1.2 million to cover their initial investment, plus all legal fees and arbitration costs. This was the second defeat for Scott in the last 12 months, according to The New York Times article. Merrill has moved to vacate the previous award and it’s unclear if they will do the same with Mirabelli’s.
“We disagree with the panel’s decision given the facts presented in this case,” said Bill Halldin, a spokesman for Merrill. “This account was handled properly during a very difficult time when there was extreme market volatility.”
Doug Mirabelli, 41, earned roughly $7 million over a dozen seasons. He now works as a real estate agent in Michigan.
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25
Nuveen Investments Fined $3 Million by FINRA for Use of Misleading Marketing Materials Concerning Auction Rate Securities
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WASHINGTON — On May 23, 2011, the Financial Industry Regulatory Authority (FINRA) announced that it has fined Nuveen Investments, LLC, of Chicago, $3 million for creating misleading marketing materials used in sales of auction rate preferred securities (ARPS). The Nuveen Funds’ ARPS were a form of auction rate securities, which are long-term securities with interest rates or dividend yields that are reset periodically through an auction process. In contrast to other types of auction rate securities, the Nuveen ARPS were preferred shares issued by closed end mutual funds to raise money for the funds to use to invest.
It was reported on the FINRA website that by early 2008, over $15 billion of Nuveen Funds’ ARPS had been sold to retail customers by third-party broker-dealers. Nuveen did not sell the ARPS to customers, but in its role as distributor for Nuveen Funds, it created marketing brochures that were used by the broker-dealers who sold the ARPS to retail customers. The brochures were the primary sales and marketing material Nuveen created for the auction rate preferred securities. FINRA found that the brochures, also available on Nuveen’s website, failed to adequately disclose liquidity risks for ARPS. Nuveen neglected to include the risks that auctions for the ARPS could fail, investments could become illiquid and that customers might be unable to obtain access to funds invested in the ARPS for a period of time should the auctions fail. Instead, the brochures contained misleading statements which described the ARPS as safe and liquid investments. Also, FINRA found that Nuveen failed to maintain adequate supervisory procedures to ensure that the materials it used to market the auction rate preferred securities accurately described the features and risks of the securities.
Brad Bennett, FINRA Executive Vice President and Chief of Enforcement, said, “Nuveen was aware of facts that raised significant red flags about the ability of investors to obtain liquidity for their Nuveen auction rate securities yet failed to revise their marketing brochures to disclose these risks. This failure deprived investors of important information.”
It was reported that Nuveen failed to revise disclosures in their brochures after a lead auction manager responsible for approximately $2.5 billion of the ARPS notified Nuveen in early January 2008 that it intended to stop managing Nuveen auctions. On January 22, 2008, the lead manager did not submit support bids in an auction for a series of Nuveen auction rate preferred stock and that auction failed. FINRA found that the auction failure and Nuveen’s inability to find a replacement for the lead manager raised serious questions for Nuveen about whether investors in Nuveen’s ARPS would be able to obtain liquidity for the securities in future auctions. Despite this, Nuveen failed to revise its marketing brochures to reflect these risks and, thus, the brochures were misleading. In February 2008, widespread auction failures occurred throughout the auction rate securities market, including auctions for Nuveen funds ARPS.
The Nuveen funds have redeemed approximately $14.2 billion of the $15.4 billion of the ARPS that were outstanding on February 12, 2008. As part of the settlement, Nuveen agreed to use its best efforts to effect redemptions of any remaining outstanding Nuveen funds ARPS. Nuveen neither admitted nor denied the charges, but consented to the entry of FINRA’s findings.
This information was obtained on FINRA’s website.
If you or a family member have become a victim of the alleged fraudulent schemes of Nuveen Investments, LLC, call a Securities Arbitration Lawyer for a free consultation on how you could potentially recover you losses. To speak with an attorney, call 888-760-6552, or visit www.stockmarketlawsuit.com. Soreide Law Group, PLLC., representing investors nationwide before FINRA the Financial Industry Regulatory Authority.
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25
Lloyd V. Barriger, Monticello, New York Investment Adviser, Charged with Multi-Million Dollar Fraud by SEC
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On May 13, 2011, it was reported on the SEC’s website that the Securities and Exchange Commission filed a civil injunctive action charging Monticello, New York investment adviser Lloyd V. Barriger with fraud in connection with two upstate New York real estate funds he managed – the Gaffken & Barriger Fund, LLC (the G&B Fund or the Fund), and Campus Capital Corp. (Campus). According to the complaint, the G&B Fund raised approximately $20 million from January 1998 until March 2008, and Campus raised approximately $12 million from October 2001 until July 2008. The Commission charged Barriger with defrauding the funds and their investors and prospective investors to whom he offered and sold interests in these funds.
The SEC complaint alleges that Barriger defrauded the G&B Fund itself by (a) allocating the Preferred Return to investors when the Fund did not have sufficient income to justify the allocation; and (b) by, when the Fund lacked the income to support those allocations and payments causing the Fund to pay cash distributions of the Preferred Returns to those Fund investors who requested them, and to redeem investors at values reflecting the purported accrued 8% per year Preferred Return.
Also, the SEC’s complaint, filed in federal court in Manhattan, alleges that from at least July 2006 until March 5, 2008, when he froze the Fund and disclosed to investors its true financial condition, Barriger defrauded investors and prospective investors in the G&B Fund by misrepresenting that the Fund was a relatively safe and liquid investment that paid a minimum “Preferred Return” of 8% per year. The complaint further alleges that Barriger made these misrepresentations knowing, or recklessly disregarding, that the Fund’s actual performance did not justify these performance claims, and without disclosing information about the Fund’s true performance and financial condition – which rapidly deteriorated in 2007 and early 2008 as Barriger continued to raise money from new and existing investors.
Lastly, the complaint alleges that Barriger defrauded Campus and its prospective investors by causing Campus to inject a total of nearly $2.5 million into the G&B Fund between August 2007 and April 2008 at a time when the G&B Fund was in distress, and by raising money for Campus without disclosing to investors his use of Campus’s assets to prop up the ailing G&B Fund. The complaint also alleges that Barriger caused Campus to engage in other transactions that personally benefitted Barriger, none of which he disclosed to prospective Campus investors.
On the Securities and Exchange Commision’s (SEC) website, the complaint alleges that Barriger violated Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940.
It was reported that in its complaint, the SEC seeks a final judgment permanently enjoining Barriger from future violations of the foregoing provisions and ordering him to pay civil penalties and disgorgement of ill-gotten gains with prejudgment interest.
This information was obtained from the SEC’s website.
If you or a family member have become a victim of the alleged fraudulent schemes of Lloyd V. Barriger, Gaffken & Barriger Fund, LLC, or Campus Capital Corp., call a Securities Arbitration Lawyer for a free consultation on how you could potentially recover you losses. To speak with an attorney, call 888-760-6552, or visit www.stockmarketlawsuit.com. Soreide Law Group, PLLC., representing investors nationwide before FINRA the Financial Industry Regulatory Authority.
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- China Electric Motor – Shareholders lawsuit filed claiming underwriters violated federal securities laws by issuing materially false and misleading information.
- China Natural Gas – Class action lawsuit alleges directors and officers issued materially false and misleading statements. CFO of company resigned in late 2010.
- Duoyuan Printing - SEC investigating company for fraud, NYSE delisted April 4, 2011
- China MediaExpress Holdings, Inc. – Deloitte quit as auditor because “no longer able to rely on the representations of management”. CFO resigned. Stock trading halted March 11
- China Agritech – Shareholder lawsuit pending. Dismissed its auditor Ernst & Young.
- China Sky One Medical – Under investigation by SEC.
- Orient Paper, Inc. – Reauditing previous financials due to license issues with previous auditor (Davis Accounting Group)
Soreide Law Group, PLLC., representing investors nationwide before FINRA the Financial Industry Regulatory Authority.
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20
List of the Broker-Dealers that Sold Provident Royalties Private Placements
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The following is a list of the Broker-dealers that sold Provident Royalties private placements.
| Firm name | Total sales | Total commission paid to BD |
|---|---|---|
| Advisory Group Equity Services Ltd. | $110,000 | $70,650 |
| AFA Financial Group LLC | $2,455,000 | $456,150 |
| American Portfolios Financial Services Inc. | $585,000 | $66,650 |
| Asset Management Strategies LLC | $220,000 | $2,250 |
| Ausdal Financial Partners Inc. | $100,000 | $2,250 |
| Barron Moore Inc. | $250,000 | $96,750 |
| Boogie Investment Group Inc. | $410,000 | $110,150 |
| Brookstone Securities Inc. | $460,000 | $76,500 |
| Callaway Financial Services Inc. | - | $22,500 |
| Calton & Associates Inc. | $300,000 | $40,750 |
| Capital Financial Services Inc. | $33,655,000 | $5,510,725 |
| CapWest Securities Inc. | $21,745,000 | $3,058,700 |
| Chester Harris & Co. | $340,000 | $297,500 |
| Community Bankers Securities LLC | $2,780,000 | $355,950 |
| Crescent Securities Group | - | $9,375 |
| David Harris & Co. Inc. | $850,000 | $94,000 |
| DeWaay Financial Network LLC | $850,000 | $134,525 |
| Eagle One Investments LLC | $360,000 | $42,500 |
| Empire Financial Group Inc. | $2,750,000 | $234,200 |
| Empire Securities Corp. | $205,000 | - |
| E-Planning.com Securities Inc. | $3,765,000 | $483,925 |
| First Allied Securities Inc. | $380,000 | $11,250 |
| Gk Securities LLC | $50,000 | - |
| Grant Bettingen Inc. | $215,000 | $19,350 |
| GunnAllen Financial Inc. | $22,255,000 | - |
| Harrison Douglas Inc. | $1,830,000 | $569,900 |
| Independent Financial Group | $495,000 | - |
| INVEST Financial Corp. | $100,000 | - |
| Investlinc Securities LLC | $2,095,000 | $183,275 |
| Investors Capital Corp. | $3,400,000 | $427,975 |
| J.P. Turner & Co. LLC | $11,600,000 | - |
| Jesup & Lamont Securities Corp. | $100,000 | $13,500 |
| Kaiser & Co. | $100,000 | $160,650 |
| Lighthouse Capital Corp. | $250,000 | $33,750 |
| Main Street Securities LLC | $205,000 | $45,450 |
| Matheson Securities LLC | $100,000 | $37,800 |
| Milkie Ferguson Investments Inc. | $4,145,000 | $480,350 |
| Morrow Wealth Management | $30,000 | - |
| National Securities Corp. | $3,665,000 | $437,250 |
| Newbridge Securities Corp. | $25,000 | $15,750 |
| NEXT Financial Group Inc. | $33,485,000 | $3,190,200 |
| Okoboji Financial Services Inc, | $21,910,000 | $2,261,225 |
| Private Asset Group Inc. | $2,015,000 | $204,150 |
| Provident Asset Management | $50,000 | - |
| QA3 Financial Corp. | $32,585,000 | $6,974,450 |
| Questar Capital Corp. | $250,000 | $24,125 |
| Securian Financial Services Inc. | $50,000 | - |
| Securities America Inc. | $17,995,000 | $3,723,475 |
| Securities Network LLC | $215,000 | $89,550 |
| SII Investments Inc. | $100,000 | - |
| Sterling Enterprises Group Inc. | $100,000 | $13,000 |
| Summit Brokerage Services Inc. | $560,000 | $81,000 |
| Unaffiliated Broker-Dealer | $150,000 | - |
| United Equity Securities LLC | $660,000 | $173,200 |
| United Securities Alliance Inc. | $550,000 | $401,850 |
| Waterford Investor Services Inc. | - | $2,250 |
| Wedbush Morgan Securities Inc. | $325,000 | - |
| WestPark Capital Inc. | $785,000 | $114,250 |
| WFP Securities Corp. | $6,755,000 | $1,286,775 |
| Williams Financial Group Inc. | $175,000 | - |
| Workman Securities Corp. | $9,045,000 | $1,239,025 |
| $250,990,000 | $33,380,775 |
Source: U.S. Bankruptcy court filings, Northern District of Texas, case # 09-33886
If you feel you have been an alleged victim of these broker-dealers and were sold Provident Royalties private placements, call a Securities Arbitration Lawyer for a free consultation on how to potentially recover your losses. To speak with an attorney, call 888-760-6552, or visit www.stockmarketlawsuit.com. Soreide Law Group, PLLC., representing investors nationwide before FINRA the Financial Industry Regulatory Authority.
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“Non-traded REITs”are public companies, but their shares are not listed on any stock exchange. This makes non-traded REITs a very opaque and a private market (not to mention illiquid). Unlike publicly traded REITs, non-traded REITs are illiquid and specify when investors can redeem shares, typically after seven years. At that point, the REIT may go public and begin trading on an exchange — or it may be liquidated.
Unfortunately, many conservative or elderly clients were sold non-traded REITs. Occasionally, the true risks of these investments allegedly were not disclosed to the clients. Many retirees who couldn’t afford to take the risks associated with non-traded REITs had a substantial percentage of their net worth in these investments. In some instances, they may have been unsuitable investments. Fortunately, some, or all, of the frozen funds or investment losses in non-traded REITs may be recoverable against the brokerage firms who sold them through FINRA arbitration claims and lawsuits.
The following are examples of non-traded REITs sold to investors by brokers and full service brokerage firms are as follows:
Behringer Harvard REIT I, Inc.
Behringer Harvard Multifamily REIT I, Inc.
Behringer Harvard Opportunity REIT I, Inc.
Behringer Harvard Opportunity REIT II, Inc.
CNL Lifestyle Properties, Inc.
Cole Credit Property Trust, Inc.
Cole Credit Property Trust II, Inc.
Cole Credit Property Trust III, Inc.
Grubb & Ellis Apartment REIT, Inc.
Healthcare Trust of America, Inc.
Inland American Real Estate Trust, Inc.
Inland Western Retail Real Estate Trust, Inc.
KBS Real Estate Investment Trust I, Inc.
KBS Real Estate Investment Trust II, Inc.
Piedmont Office Realty Trust, Inc.
Wells Real Estate Investment Trust II
Blackstone Real Estate Advisors
INREIT Real Estate Investment Trust
The Community Development Trust
Soreide Law Group, PLLC, believes that many of the non-traded REITs are far riskier than people knew and were not appropriate for some investors, particularly the elderly, retired or the conservative investors. If you feel these risks were not disclosed by your broker or the brokerage firms who sold them to you, call a Securities Arbitration Lawyer for a free consultation on how to potentially recover your investment losses. To speak with an attorney, call 888-760-6552, or visit www.stockmarketlawsuit.com. Soreide Law Group, PLLC., representing investors nationwide before FINRA the Financial Industry Regulatory Authority.
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China Century Dragon Media, Inc. (CDM)
NIVS IntelliMedia Technology Group, Inc. (NIV)
China Electric Motor, Inc. (CELM)
China Intelligent Lighting (CIL)
Soreide Law Group, PLLC, is currently investigating the above companies. Allegedly, investors may not have been made awar of the risks of these securities at the full service brokerage firms and some investors may have sustained losses. In some cases, these losses might potentially be recoverable.
If you have stained losses in China Century Dragon Media, NIVS IntelliMedia, China Electric Motor, and China Intelligent Lighting, contact a Securities Arbitration Lawyer for a free consultation on how to potentially recover your investment losses. To speak with an attorney, call 888-760-6552, or visit www.stockmarketlawsuit.com.
Soreide Law Group, PLLC., representing investors nationwide before FINRA the Financial Industry Regulatory Authority.
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