Rafael Novales

Articles

Two Advisory Firms Merge to Form $15 Billion Wealth Management Business

May 17, 2023

Adviser Investments LLC and Ropes Wealth Advisors announced they are combining their wealth management businesses to create a bespoke advisory...

Former Sagepoint Advisor Joins LPL Financial

May 17, 2023

LPL Financial LLC, the nation’s largest independent broker-dealer, announced that financial advisor Jeff Hedberg and the team at Hedberg Wealth...

SEC Bars Former J.P. Morgan Advisor

May 17, 2023

The Securities and Exchange Commission announced that they have accepted an offer of settlement from former advisor Alaa Ahmad.Between approximately...

Egan-Jones Assigns BBB Credit Rating to ARCTRUST Affiliate

May 17, 2023

ARCTRUST Group of Companies, a sponsor of non-traded real estate alternative investment offerings, announced that an affiliate of the company...

Ares REIT Acquires Two Industrial Properties and Reports Slightly Lower NAV Per Share

May 16, 2023

Ares Real Estate Income Trust Inc., a publicly registered NAV-based perpetual life real estate investment trust formerly known as Black...

Former Raymond James Advisors with $365 Million in Assets Join LPL Financial

May 16, 2023

LPL Financial LLC, the nation’s largest independent broker-dealer, announced that financial advisors Indya Kellman, Tim Mol and Pier Mutovic have...

SEC Bars Former Virginia Advisor

May 16, 2023

The Securities and Exchange Commission announced that they have accepted an offer of settlement from former advisor Ryan R. Riley.As...

Former Securities America Firm Joins LaSalle St.

May 16, 2023

LaSalle St., a family of wealth management firms encompassing an independent broker-dealer and two registered investment adviser platforms, announced that...

FINRA Expels Broker-Dealer for Reg BI Violations

May 15, 2023

The Financial Industry Regulatory Authority announced that it has expelled SW Financial, a Melville, N.Y.-based broker-dealer, for multiple violations of...

Capital Square Apartment REIT Increases Dividend

May 15, 2023

Capital Square Apartment REIT Inc., a Regulation D real estate investment trust sponsored by Capital Square, announced that its board...

SEC Obtains Final Judgment Against Former Raymond James Advisor

May 15, 2023

The U.S. District Court for the Eastern District of New York entered a final judgment against Matthew Bell, enjoining him...

LPL Financial Appoints Principal Accounting Officer

May 15, 2023

LPL Financial LLC, the nation’s largest independent broker-dealer, announced that the board of directors appointed Matthew Audette as the company’s...

SEC Continues Crackdown on Off-Channel Communications; Fines HSBC and Scotia Bank More than $22 Million

May 12, 2023

The Securities and Exchange Commission continues its crackdown on unmonitored electronic messaging with more than $22 million in fines to...

Starwood REIT Shakes Up Executive Management

May 12, 2023

Starwood Real Estate Income Trust Inc., a publicly registered non-traded real estate investment trust sponsored by Starwood Capital Group, announced...

U.S. Court Enters Final Judgement Against Former Adviser for Defrauding Elderly Clients of $1.2 Million

May 12, 2023

The U.S. District Court for the Eastern District of New York entered a final judgment against former NJ broker, Joseph...

VineBrook Homes Trust Begins Trading on LODAS Markets

May 12, 2023

LODAS Markets, an operator of a web-based marketplace for the secondary trading of illiquid real estate and alternative investments formerly...

Skyway Capital Markets Hires Keith Hodgdon as Managing Director

May 11, 2023

Skyway Capital Markets announced the hiring of Keith Hodgdon to its investment banking team as managing director.Skyway says Hodgdon will...

LPL Adds Former Advisor Group Firm with $220 Million in Client Assets

May 11, 2023

LPL Financial LLC, the nation’s largest independent broker-dealer, announced that financial advisor Michelle Brennan Hall of Brennan Wealth Advisors LLC...