Investor Education

Investor Alert – Illiquid Alts

Investor Alert – Illiquid Alts

Illiquid alternative investments have been a cause of particular concern for securities regulators and watchdogs in recent years. Among the products that have garnered the most notoriety are non-traded Real Estate Investment Trusts (“REITs”), non-traded Business Development Corporations (“BDCs”), and oil and gas private placements. Non-Traded REITs A REIT is an investment…

Federal District Court in Florida Set to Decide Whether 1 Global Capital Investments Are Securities

Federal District Court in Florida Set to Decide Whether 1 Global Capital Investments Are Securities

A battle is underway in a federal district court in Florida between the SEC and Carl Ruderman, the disgraced former CEO and Chairman of 1 Global Capital, LLC, over whether allegedly fraudulent investments issued by 1 Global Capital are “securities” for purposes of applying federal securities laws. The outcome of…