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...
Rafael Novales
Articles
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...
Red Oak Capital Holdings Appoints Midwestern Regional Manager
May 11, 2023
Red Oak Capital Holdings LLC, a commercial real estate finance company and Regulation A+ sponsor, has appointed Stratos Athanassiades as...
SEC Granted Default Judgments Against Operators of $4 Million Fraudulent Scheme
May 11, 2023
The U.S. District Court for the Eastern District of Wisconsin granted the SEC's motion for default judgment, and entered final...
Proxy Advisory Firms Recommend Against AR Global Directors of GNL and RTL
May 10, 2023
Proxy advisory firms Institutional Shareholder Services and Glass Lewis urged shareholders in Global Net Lease Inc. (NYSE: GNL) and Necessity...
FINRA Orders Oppenheimer to Pay $14 Million to Ponzi Scheme Victims
May 10, 2023
The Financial Industry Regulatory Authority ordered Oppenheimer & Co. Inc. to pay nearly $14 million to several victims of a...
Cove Capital Acquires Maryland Walgreens for Opportunistic Fund
May 10, 2023
Cove Capital Investments LLC, a private equity real estate firm and Delaware statutory trust sponsor, announced it completed the purchase...
