Rafael Novales

Articles

Former AIG Financial Advisor with $115 Million Joins LPL

July 5, 2023

LPL Financial LLC, the nation’s largest independent broker-dealer, announced that financial advisor Buddy Favor has joined LPL Financial’s broker-dealer, registered...

U.S. Supreme Court to Decide Legality of SEC In-House Enforcement

July 3, 2023

The U.S. Supreme Court on Friday agreed to hear a bid by President Joe Biden's administration to defend certain Securities...

FS Investments and Portfolio Advisors Combine to Form $75 Billion Alternative Asset Manager

July 3, 2023

FS Investments, a sponsor of alternative investment products, and Portfolio Advisors, a global middle-market private asset specialist, announced they have...

House Committee Passes Tax Legislation Related to Opportunity Zones

July 3, 2023

Last week, the House Ways and Means Committee passed its first package of tax legislation in the 118th Congress which...

SEC Charges Two Oregonians for Conducting $10 Million Ponzi-Like Scheme

July 3, 2023

The Securities and Exchange Commission charged Oregon residents Robert D. Christensen and Anthony M. Matic, as well as several companies...

Bluerock Homes Trust Receives Notice of Effectiveness for Preferred Stock Offering

July 3, 2023

On June 29, 2023, Bluerock Homes Trust (NYSE: BHM) announced the company received a notice of effectiveness from the Securities...

Legion Capital Corporation Announces New Reg A Offering

June 30, 2023

Legion Capital Corporation, a fintech enabled private equity lender, announced approval of their new $75 million Regulation A, Tier II...

FINRA Files Disciplinary Action Against Former Merrill Lynch Advisor Over Cash Transactions

June 30, 2023

The Financial Industry Regulatory Authority announced that it has filed a disciplinary action against James Iannazzo.According to the complaint, Iannazzo...

Shopoff Realty Investments Secures Approval for Arizona Development

June 30, 2023

Shopoff Realty Investments, a manager of opportunistic and value-add real estate investments, announced it has secured unanimous approval from the...

SEC Charges Investment Fund Founder with Defrauding Investors of $25 Million

June 30, 2023

The Securities and Exchange Commission charged William K. Ichioka, of New York, New York, with fraudulently raising $25 million from...

Former Edward Jones Advisors Join LPL Financial

June 30, 2023

LPL Financial LLC, the nation’s largest independent broker-dealer, announced that financial advisors Isaac J. Hart, Robert Entwistle Jr., Matthew L...

2023 DST Fundraising Remains Tepid Through May

June 29, 2023

Fundraising for Delaware statutory trust offerings, typically used to facilitate securitized 1031 exchanges, totaled just over $2.1 billion for the...