Ex-Raymond James Rep Fined for Unauthorized Trades and $120K Client Gift
April 9, 2025
The Financial Industry Regulatory Authority has sanctioned former Raymond James & Associates broker William J. Conn, including a $15,000 fine,...
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Articles
Maryland Court Delivers Mixed Ruling in Ongoing Hartman vs. Silver Star Battle
April 6, 2025
In what has now been a years-long dispute between Silver Star Properties REIT, a publicly registered non-traded real estate investment...
JPMorgan Private Markets Fund Added to Schwab Alts’ OneSource Platform
April 1, 2025
J.P. Morgan Asset Management has announced that its JPMorgan Private Markets Fund, or JPMF, a non-diversified, closed-end private markets fund,...
ExchangeRight Hires New Senior Vice President of Mid-Atlantic Region
April 1, 2025
ExchangeRight, a sponsor of Delaware statutory trust and non-traded real estate investment trust investment offerings, has appointed Jason Roland as...
Greenbacker CEO Steps Down; Daniel De Boer Named as Interim CEO
April 1, 2025
Greenbacker Renewable Energy Company, a climate-focused investment manager with a registered investment adviser subsidiary, announced that Charles Wheeler has stepped...
Alpine Securities Expelled by FINRA Amid Federal Court Fight Over Regulator’s Constitutionality
March 26, 2025
The Financial Industry Regulatory Authority’s National Adjudicatory Council announced that it has affirmed in part and modified in part a...
Ex-Rep of Expelled Firm Suspended for Deceptive Marketing and Pandemic Fraud
March 24, 2025
The Financial Industry Regulatory Authority announced that it has suspended former SW Financial LLC general securities representative Martin A. Barth...
New CAIS Marketplace Brings Curated Alt Investment Models to RIAs and Wealth Firms
March 24, 2025
Alternative investment platform CAIS announced the launch of CAIS Models Marketplace, a centralized hub designed to streamline access to model...
Cantor Silverstein OZ Trust II Closes, Raising More Than $470 Million
March 3, 2025
Cantor Fitzgerald LP, a global financial services firm, and Silverstein Properties Inc., a global full-service real estate development, investment and...
SEI Launches Alts Product Marketplace, Expanding Access to Private Markets
March 3, 2025
SEI (Nasdaq: SEIC), a financial services technology and investment solutions company, announced the launch of its alternative investment product marketplace...
NexPoint Submits Competing Proposal for UDF IV in Ongoing Dispute
March 3, 2025
In the latest in the ongoing saga, NexPoint Real Estate Opportunities LLC has submitted a competing proposal to the board...
Cheater Gets Flushed Out: Ex-J.P. Morgan Rep Hides Phone in Restroom to Cheat on Exam
March 2, 2025
The Financial Industry Regulatory Authority recently announced that a former general securities representative with J.P. Morgan Securities LLC has been...
Realta Equities Changes CEO for the Second Time in Less Than Two Years
February 27, 2025
Realta Equities, a mid-sized independent broker-dealer and affiliate of Realta Wealth, announced the appointment of Elizabeth “Liz” Legacy as the...
Never Alone, Never Legit? SEC Charges Fraudster in $4M Investment Scheme
February 26, 2025
The U.S. Securities and Exchange Commission announced fraud charges against Alan Burak, founder of Never Alone Capital LLC, an alleged...
StratCap Fund Converts From Private Offering to Public StratCap Digital Infrastructure REIT
February 18, 2025
Strategic Wireless Infrastructure Fund II, a private real estate investment trust, or REIT, focused on wireless infrastructure, has converted from...
FINRA Fines Smoothie-Tossing Rep $50,000 for Structuring Scheme
February 12, 2025
The Financial Industry Regulatory Authority has fined a former Merrill Lynch representative $50,000 and suspended him for two years for...
Consumer Financial Protection Bureau Staff Awaiting Further Instruction From Vought, DOGE
February 10, 2025
According to a Feb. 9, 2024, memo obtained by CNBC, Consumer Financial Protection Bureau employees were told to stay home...
Thompson Thrift’s Latest Private Placement Fund Fuels New Florida Multifamily Project
February 6, 2025
Real estate company Thompson Thrift announced that its Thompson Thrift 2025 Multifamily Development, LP will provide equity capital for the...
Madison Capital Markets Group Closes $21 Million Self-Storage DST in Texas
February 6, 2025
Madison Capital Markets Group, a national sponsor of syndicated 1031 exchange offerings, announced that it has closed the $21 million...
FINRA Orders Broker to Repay $17M to Ex-Firm to Cover Settlement Payments
February 6, 2025
A Financial Industry Regulatory Authority arbitration panel recently ordered that troubled broker Mark Sam Kolta pay $17.7 million in damages...
