Fifth Circuit Declines Request to Reconsider Constitutionality of SEC In-House Courts
October 26, 2022
The U.S. Court of Appeals for the Fifth Circuit has declined a request by the U.S. Securities and Exchange Commission...
Rafael Novales
Articles
Broadridge Survey Reveals Use of Alts Surging as Advisors Seek Diversification
October 26, 2022
A bi-annual survey of 400 financial advisors released by Broadridge Financial Solutions Inc. (NYSE: BR), finds that advisors are increasingly...
SEC Obtains Final Judgement Against Cetera Advisors and Cetera Advisor Networks for Defrauding Advisory Clients
October 26, 2022
The Securities and Exchange Commission obtained a final judgment against defendants Cetera Advisors LLC and Cetera Advisor Networks LLC, whom...
Financial Services Institute Requests that DOL Extend Comment Period on Independent Contractor Proposal
October 26, 2022
The Financial Services Institute is asking the U.S. Department of Labor to extend the comment period for an Independent Contractor...
Non-Traded REIT Equity Raise Showing Signs of Fatigue but Remains on Record Setting Annual Pace
October 25, 2022
Robert A. Stanger & Co. Inc., a boutique investment banking firm that provides financial advisory and other services focused on...
Lightstone REITs Seek Approval to Eliminate Shareholder Rights
October 25, 2022
In a series of shareholder proxy proposals, various Lightstone REITs (specifically, Lightstone Value Plus REIT I, Inc., Lightstone Value Plus...
Blackstone Private Credit Fund Reports Lower Monthly NAV Per Share
October 25, 2022
Blackstone Private Credit Fund, a non-traded business development company sponsored by private equity giant Blackstone (NYSE: BX), updated the monthly...
Urban Catalyst Expands “Strategic Partnerships” Team
October 25, 2022
Urban Catalyst Funds, a sponsor of opportunity zone funds, has expanded its “strategic partnership team” with the addition of Patrick...
Opportunity Zone Funds Raise $2.2 billion in Q3, on Pace for $10 Billion in 2022
October 24, 2022
Qualified opportunity zone funds raised $2.2 billion during the third quarter of 2022, bringing the aggregate total raise to $32.7...
Ares REIT Updates Monthly NAV Per Share
October 24, 2022
Ares Real Estate Income Trust Inc., a publicly registered NAV-based perpetual life real estate investment trust formerly known as Black...
MacKenzie Realty Capital Increases Quarterly Dividend
October 24, 2022
MacKenzie Realty Capital Inc., a publicly registered non-traded real estate investment trust, has increased its regular quarterly dividend to $0.105...
Madison Capital Files Form D
October 24, 2022
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Chip Marcus Wealth Management Launches through LPL Financial
October 24, 2022
LPL Financial LLC, the nation’s largest independent broker-dealer, announced today that financial advisor Chip Marcus has joined LPL’s employee advisor...
