
FINRA Fines Haywood USA $175,000 for Failure to Perform Due Diligence
November 14, 2023
The Financial Industry Regulatory Authority censured and fined Haywood Securities (USA) Inc. after the firm recommended 134 sales totaling almost...
November 14, 2023
The Financial Industry Regulatory Authority censured and fined Haywood Securities (USA) Inc. after the firm recommended 134 sales totaling almost...
November 13, 2023
Capital Square, a sponsor of tax-advantaged real estate investments, announced that the company has secured $76.5 million of fixed-rate, permanent...
November 13, 2023
CIM Real Assets & Credit Fund, a continuously offered closed-end interval fund, has raised its annualized distribution rate from 7.0%...
November 13, 2023
Parsonex Capital Markets LLC has consented to a fine and censure from The Financial Industry Regulatory Authority after they omitted...
November 13, 2023
Choreo LLC, a company that provides investment advisory services, financial planning and other wealth management services to individuals and businesses,...
November 10, 2023
The Securities and Exchange Commission charged Connecticut-based unregistered investment adviser John A. Masanotti, Jr. and his company, Middlesex Mortgage Group...
November 10, 2023
1031 Crowdfunding, an online marketplace for investors seeking 1031 exchange-qualified properties, announced the launch of Covenant Senior Housing REIT Inc.,...
November 10, 2023
Aphorio Carter Fund Management Company LLC, the infrastructure and data center division of Carter Funds, announced that it has acquired...
November 10, 2023
JVM Realty Corp., a multifamily real estate investment and property management firm, announced that it has acquired Ellison Apartments, a...
November 10, 2023
LPL Financial LLC, the nation’s largest independent broker-dealer, announced that financial advisors Brad Sicoff and Bruce Porter of SYV Wealth...
November 9, 2023
ExchangeRight, a sponsor of Delaware statutory trusts and real estate investment trust investments, announced that the company has hired Kara...
November 9, 2023
The Alternative & Direct Investment Securities Association and the Institute for Portfolio Alternatives joined sixteen other financial services trade groups...
November 9, 2023
Cambridge Investment Research, an independent financial solutions firm serving over 3,800 financial professionals across the country, announced that Greg Turner...
November 9, 2023
Red Oak Capital Holdings LLC, a national commercial real estate finance company and Regulation A+ sponsor, has provided a $4.25-million...
November 8, 2023
The U.S. Supreme Court is set to hear oral arguments later this month in Jarkesy v. Securities and Exchange Commission,...
November 8, 2023
American Healthcare REIT Inc., a non-traded real estate investment trust formed by the 2021 merger of Griffin-American Healthcare REIT III,...
November 8, 2023
The Financial Industry Regulatory Authority censured and ordered restitution from Robert W. Baird & Co. Inc. after 2,300 customer accounts...
November 8, 2023
LPL Financial LLC, the nation’s largest independent broker-dealer, announced that GER Loftin Wealth Advisors has joined LPL Financial’s broker-dealer, registered...
November 7, 2023
Novogradac & Company, an accounting and consulting firm that specializing in federal tax credits, announced that qualified opportunity funds tracked...
November 7, 2023
The Financial Industry Regulatory Authority fined and suspended two advisers, Joseph S. Hanson and Brian K. Shey, for failing to...