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506(c) Offerings: No Loss of Exemption if Reasonable Steps Fail to Find Nonaccredited Investors

October 5, 2022

One of the concerns voiced by some members within the broker-dealer community for the last few years is over the...

RREEF Property Trust Reports Daily NAVs for September 2022

October 5, 2022

RREEF Property Trust Inc., (NASDAQ: ZRPTAX; ZRPTIX; ZRPTTX), a publicly registered daily net asset value real estate investment trust advised...

Mercer Advisors Acquires RIA with AUM of $1 Billion

October 5, 2022

Mercer Global Advisors Inc., a registered investment adviser with $38 billion in client assets, announced the acquisition of Goldstein Munger...

Cove Capital Expands Acquisition Team

October 5, 2022

Cove Capital Investments LLC, a sponsor of Delaware statutory trusts and other real estate investment offerings, appointed Dennis Younes vice...

SEC Fines Kim Kardashian for Unlawful Crypto Promotion

October 4, 2022

The Securities and Exchange Commission announced charges against celebrity reality star and online influencer Kim Kardashian for an undisclosed paid...

Resource Royalty Names New CEO

October 4, 2022

Resource Royalty LLC, a Dallas-based oil and gas royalty portfolio manager, announced Bob Howard, founder, will assume the role of...

Guest Contributor: Launching a Private Fund for Conversion to a Registered Fund

October 4, 2022

Launching a private fund is far quicker than launching a registered fund. The big difference is not waiting on SEC...

Bodnar Financial Advisors Joins LPL from Cambridge

October 4, 2022

LPL Financial LLC, the nation’s largest independent broker-dealer, announced that Bodnar Financial Advisors has joined the firm’s broker-dealer, registered investment...

Jones Lang LaSalle Income Property Trust Inc. Changes Name

October 4, 2022

Jones Lang LaSalle Income Property Trust Inc., a daily net asset value real estate investment trust, changed its name to...

Senate Bill Would Boost Alts in Defined Contribution Plans

October 3, 2022

Republican members of the U.S. Senate Banking Committee have introduced the Retirement Savings Modernization Act to “bolster American’s retirement savings”...

SEC Charges Former LPL Rep with Defrauding Elderly Client

October 3, 2022

The Securities and Exchange Commission charged Bradley A. Goodbred, a former registered representative with LPL Financial, with stealing $1.3 million...

Opinion: Where is the SEC?

October 3, 2022

By: PubliusIn our previous article, we discussed how the Supreme Court egregiously missed a chance to do right by the...

Leitbox Acquires Self-Storage Facility in Georgia

October 3, 2022

Leitbox Storage Partners, a self-storage investment and development platform, has purchased a self-storage facility in Gainesville, GA for $2.9 million.The...

FINRA’s National Adjudicatory Council Revises Sanction Guidelines

September 30, 2022

The Financial Industry Regulatory Authority announced that the National Adjudicatory Council has updated the organization’s sanction guidelines to, among other...

Owl Rock Core Income Corp. Declares Special Distribution to Stockholders

September 30, 2022

Owl Rock Core Income Corp., a non-traded business development company, has declared a special distribution to stockholders and declared a...

FINRA Permanently Bars Morgan Stanley Broker

September 30, 2022

The Financial Industry Regulatory Authority has permanently barred Doug M. McKelvey from the securities industry for refusing to provide information...

A new golden age for fast food?

September 30, 2022

When it comes to American culture, one area that many people may think of is fast food. According to research...

SEC’s Electronic Messaging Sweep is a Warning Shot for Broker-Dealers and Investment Advisors

September 29, 2022

By ordering more than $1.1 billion in penalties against the world’s largest banks and brokerages based on admissions of willful...

EP Wealth Advisors Expands to East Coast with Acquisition of $1.1 Billion RIA

September 29, 2022

EP Wealth Advisors LLC, an independent registered investment adviser, has acquired Massachusetts-based Minot Wealth Management LLC, a fee-only RIA with...