March 4, 2019
Bluerock Capital Markets, a distributor of institutional alternative investment products, announced that certain tranches of the warrants sold as units...
March 4, 2019
RK Properties, a sponsor of alternative private placements and Delaware statutory trust offerings, has sold two multifamily properties, Greentree Apartments and...
March 4, 2019
An Ohio federal court entered a consent judgment against John Gregory Schmidt, a former registered representative of Wells Fargo Advisors...
March 4, 2019
LPL Financial LLC, the nation’s largest independent broker-dealer, announced that financial advisor Breandan Kelly has joined the company from Wells...
March 1, 2019
An investment vehicle affiliated with NexPoint Advisors L.P. has issued a demand to Medley Capital Corporation (NYSE: MCC) to make...
March 1, 2019
The board of Hospitality Investors Trust Inc., a publicly registered non-traded REIT formerly known as American Realty Capital Hospitality Trust,...
March 1, 2019
Cetera, a network of independent broker-dealer firms, has added Rogue Credit Union's Investment Services to the Cetera Financial Institutions platform. Rogue...
March 1, 2019
Rainier Realty Investments LP, an affiliate of The Rainier Companies and sponsor of private placement offerings, has purchased Truman’s Marketplace,...
February 28, 2019
LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisors Michael Bonevento, James Costabile and Craig Laday to...
February 28, 2019
Nelson Partners Student Housing, an investment firm that specializes in Delaware statutory trust offerings, has purchased Skyloft, a newly constructed...
February 28, 2019
Comstock Mining Inc. (NYSE: LODE), a Nevada-based, gold and silver mining company, has agreed to sell the company’s non-mining assets...
February 27, 2019
The Securities and Exchange Commission announced fraud charges and an asset freeze against the operators of a South Florida-based investment...
February 27, 2019
KBS Real Estate Investment Trust II, a publicly registered non-traded real estate investment trust, is urging its stockholders not to...
February 27, 2019
Cetera Financial Group, a network of independent broker-dealer firms, announced that North Ridge Wealth Planning, a full-service wealth management firm...
February 27, 2019
CNB Custody, a division of Community National Bank, is now able to custody alternative assets in non-qualified accounts. “The current market...
February 26, 2019
Global private equity firm Warburg Pincus LLC has agreed to purchase a majority interest in independent broker-dealer Kestra Financial Inc....
February 26, 2019
Pacific Oak Capital Markets Group LLC, the affiliated distributor of investment offerings sponsored by Pacific Oak Capital Advisors, has appointed...
February 26, 2019
NexPoint Advisors L.P. is planning to nominate two independent directors at the Medley Capital Corporation not-yet-scheduled annual stockholder meeting if...
February 26, 2019
The Massachusetts Securities Division has charged a former investment adviser who allegedly withdrew nearly $100,000 from a client’s accounts over...
February 25, 2019
Industrial Property Trust Inc., a publicly registered non-traded real estate investment trust sponsored by Black Creek Group LLC, is reportedly...
