LPL Financial Fined $5.5 Million by FINRA
December 28, 2023
The Financial Industry Regulatory Authority has censured and fined LPL Financial LLC, the nation’s largest independent broker-dealer, for failing to...
Rafael Novales
Articles
Independent Financial Group Ordered to Pay $1 Million for Unsuitable Private Investments
December 28, 2023
Independent Financial Group LLC, an independent broker-dealer, along with a former registered representative was ordered by the Financial Industry Regulatory...
Hartman Fires Back at Silver Star Board
December 27, 2023
Allen Hartman, former CEO of Silver Star Properties REIT, a publicly registered non-traded real estate investment trust formerly known as...
SEC Obtains Temporary Restraining Order Against Alleged Arizona Fraudster Jonathan Larmore
December 27, 2023
The Securities and Exchange Commission has obtained an order appointing a receiver over ArciTerra Companies LLC and its related affiliates....
FINRA Fines and Suspends Former WestPark, Skyway Rep for Unauthorized Private Transactions
December 27, 2023
The Financial Industry Regulatory Authority fined and suspended Mitchell S. Morrison for participating in private securities transactions without providing prior...
Former Raymond James Advisor with $130 Million in Assets Joins LPL Platform
December 27, 2023
LPL Financial, the nation’s largest independent broker-dealer, announced that financial advisor Stephen Freeman has joined Citizens Wealth Management, the wealth...
Non-Traded Alts on Pace to Raise $70 Billion in 2023 Says Stanger
December 26, 2023
Year-to-date 2023 non-traded alternative investment fundraising totaled nearly $64 billion through November, according to the latest research provided by investment...
StratCap Wireless Sells Fund Assets for 40% Gain
December 26, 2023
StratCap LLC, announced that its wireless infrastructure division, StratCap Wireless, has completed the sale of substantially all of the assets...
Walton Global Sells 129-Acres in DFW for Development
December 26, 2023
Walton Global, a real estate investment and land asset management company, announced the sale of 129 acres within the Princeton...
Cetera Completes Equity Reinvestment Transaction with Genstar Capital
December 26, 2023
Cetera Financial Group, one of the nation’s largest networks of independently managed broker-dealers, announced today the close of the reinvestment...
AltsWire Welcomes Mountain V Oil & Gas as New Directory Sponsor
December 26, 2023
Wealthforge Sells Altigo to SEI
December 22, 2023
SEI®, a financial services technology and investment solutions company, announced the acquisition of Altigo, a cloud-based technology platform that provides...
Atria Wealth Solutions Adds Former Cetera and Edward Jones Team with $175 in Client Assets
December 22, 2023
Atria Wealth Solutions Inc., a wealth management solutions holding company, announced the addition of Gaschen, Berlingeri & Casebolt, to its...
SEC Staff Report Says Accredited Investor Population Has Grown 16x Since 1982
December 22, 2023
The Securities and Exchange Commission released its latest staff on the accredited investor definition recently. Per the Dodd-Frank Wall Street Reform...
Sponsored: Strategic Benefits of Outsourcing Fund Administration
December 22, 2023
Outsourcing fund administration services has emerged as a strategic imperative for fund managers seeking to streamline operations, enhance efficiency, and...
J.P. Morgan REIT Acquires Newly Constructed Townhomes in Florida for $45 Million
December 21, 2023
J.P. Morgan Real Estate Income Trust Inc. (JPMREIT), a non-traded net asset value real estate investment trust externally managed and...
The Growing Popularity of Alternative Investments
December 21, 2023
It might be difficult to remember now, but near the onset of 2022, financial advisors and their clients faced a...
Walton Global Acquires 111 Acres in Arizona
December 21, 2023
Walton Global, a real estate investment and land asset management company, announced its new land acquisition of just over 111...
Starwood REIT Launches 1031 Exchange Program
December 20, 2023
Starwood Real Estate Income Trust Inc, a perpetual-life monthly NAV REIT sponsored by private investment firm Starwood Capital Group, are...
