DOL Fiduciary Rule Opponents Urge Appeals Court to “Vacate” the Rule
February 22, 2018
In response to the recent charges levied against broker-dealer Scottrade Inc. by the Massachusetts Securities Division for alleged fiduciary rule...
Stephanie Adamson
Articles
Carter Validus Mission Critical REIT II to Offer Class T2 Shares Next Month
February 22, 2018
Carter Validus Mission Critical REIT II Inc., a publicly registered non-traded real estate investment trust, will begin offering Class T2...
Benefit Street Partners Realty Trust Launches Stock Purchase Agreements
February 22, 2018
Benefit Street Partners Realty Trust Inc., a publicly registered non-traded real estate investment trust, has agreed to sell up to...
HD Vest’s Largest Independent Advisor Adds Three to Financial Planning and Tax Planning Teams
February 22, 2018
Wealth management firm Wymer Brownlee, the largest independent advisor affiliate of HD Vest Financial Services, has expanded its financial planning...
AR Global’s American Finance Trust Launches Defensive Tender Offer to Deter MacKenzie
February 21, 2018
MacKenzie Capital Management LP has launched an unsolicited tender offer to purchase up to 1 million shares of American Finance...
Provasi Adds Five New Hires to Sales and National Accounts Teams
February 21, 2018
Provasi Capital Partners LP has added five new employees to the company’s national accounts and distribution teams, including Warren Posner,...
Acting President of First Capital’s BDC Resigns
February 21, 2018
First Capital Investment Corporation, a publicly registered non-traded business development company, disclosed that its acting president, John Fields, has resigned...
Court Orders Hedge Fund Manager and Firms to Pay Nearly $13 Million in SEC Case
February 21, 2018
The Securities and Exchange Commission obtained final judgments against a Ridgefield, Connecticut-based hedge fund manager and his investment advisory businesses. The...
Oaktree to Launch $2 Billion Non-Traded REIT
February 20, 2018
Institutional investor Oaktree Capital Management LP has filed registration statements with the Securities and Exchange Commission to launch a $2...
Four Springs Capital Adds Gregory Kammerer to its Capital Markets Team
February 20, 2018
Four Springs Capital LLC, a sponsor of single-tenant net lease investment programs, has hired Gregory Kammerer as senior vice president...
InPoint Commercial Real Estate Income Secures $250 Million Credit Facility
February 20, 2018
InPoint Commercial Real Estate Income Inc., a commercial mortgage real estate investment trust, has established a credit facility of up...
Investment Adviser’s Wife Ordered to Pay Over $500,000 in SEC Fraud Case
February 20, 2018
The U.S. District Court for the District of Massachusetts entered a final judgment against Shawnet Thibeault, the wife of barred...
Galvin Charges Scottrade with Fiduciary Rule Violations
February 16, 2018
Secretary of the Commonwealth William Galvin has charged broker-dealer Scottrade Inc. with dishonest and unethical activity and failure to supervise....
Bluerock Value Exchange Subscribes Multifamily 1031 Exchange Offering in 40 Days
February 16, 2018
Bluerock Value Exchange, a national sponsor of syndicated 1031 exchange offerings, has fully subscribed its latest 1031 exchange program, BR...
KMS Financial Appoints Ford as President
February 16, 2018
KMS Financial Services Inc., an independent advisory and brokerage firm and a wholly-owned subsidiary of Ladenburg Thalmann Financial Services (NYSE:...
Phoenix American Financial Services Partners with Virtus Real Estate Capital
February 16, 2018
Transfer agent Phoenix American Financial Services announced a new fund services contract with Virtus Real Estate Capital providing transfer agent...
SEC Obtains Final Judgment Against Former CFO of American Realty Capital Properties
February 15, 2018
The Securities and Exchange Commission announced that the United States District Court for the Southern District of New York entered...
Rodin Global Property Trust Declares Increased Net Asset Value
February 15, 2018
The board of Rodin Global Property Trust Inc., a publicly registered non-traded REIT sponsored by Cantor Fitzgerald Investors, has approved...
EP Wealth Advisors Acquires $240 Million RIA
February 15, 2018
EP Wealth Advisors LLC, an independent registered investment advisor and financial planning firm based in Torrance, California, has acquired Millie...
Passco Promotes Two Senior Vice Presidents of Sales
February 15, 2018
Passco Companies LLC, a sponsor of 1031 Delaware statutory trusts and other alternative investments, has promoted Adriana Olsen and Andy...
