SEC Charges Former Cetera Adviser with Securities Fraud
January 24, 2018
The Securities and Exchange Commission has levied fraud charges against a California-based hybrid advisory firm and its two senior executives...
Stephanie Adamson
Articles
Four Springs Capital Trust Receives $40 Million Strategic Investment from Guggenheim Investments
January 24, 2018
Four Springs Capital Trust, a private real estate investment trust that invests in single-tenant net lease real estate, announced that...
Carter Validus Mission Critical REIT Announces Special Distribution and New Distribution Rate
January 23, 2018
The board of Carter Validus Mission Critical REIT Inc., a publicly registered non-traded real estate investment trust, has declared a...
SEC Charges Former KPMG and PCAOB Employees in Audit Leak
January 23, 2018
The Securities and Exchange Commission has charged six certified public accountants – including former staffers at the Public Company Accounting...
SmartStop Buys Student Housing Community Near University of Michigan Campus
January 23, 2018
SmartStop Asset Management LLC, a sponsor of non-traded real estate investment trusts and private programs that invest in student housing,...
Bluerock Value Exchange Sells Alabama DST Property, Nets Investors 8.1% IRR
January 23, 2018
Bluerock Value Exchange, a national sponsor of syndicated 1031 exchange offerings, has sold Chace Lake Villas, a 264-unit multifamily community...
Shareholders of NorthStar REITs Overwhelmingly Approve Merger
January 22, 2018
Shareholders of NorthStar Real Estate Income Trust Inc. and NorthStar Real Estate Income II Inc., two publicly registered non-traded REITs,...
GWG Holdings Partners with Beneficient in $800 Million Strategic Transaction
January 22, 2018
GWG Holdings Inc. (NASDAQ: GWGH), a sponsor of non-traded life settlement investment programs, has partnered with The Beneficient Company Group...
Griffin-American Healthcare REIT IV Names New Board Member
January 22, 2018
The board of Griffin-American Healthcare REIT IV Inc., a publicly registered non-traded real estate investment trust co-sponsored by Griffin Capital...
Four Springs DST Offering Fully Subscribed in Less Than Four Months
January 22, 2018
FSC Healthcare II DST, a Delaware statutory trust offering sponsored by Four Springs TEN31 Xchange LLC, has been fully subscribed...
Three NorthStar Closed-End Funds File to Deregister Shares
January 19, 2018
Three non-traded closed-end funds sponsored by Colony NorthStar have submitted applications to deregister their shares, according to filings with the...
Former LPL Advisory Team with $1.3 Billion in AUM Joins Focus Financial
January 19, 2018
Cornerstone Wealth Group, a hybrid registered investment advisory firm with $1.3 billion in client assets and headquartered in Huntersville, North...
Securities America First Major IBD to Allow Advisors to Text Clients
January 19, 2018
Securities America, the largest independent broker-dealer subsidiary within the Ladenburg Thalmann (NYSE: LTS) organization, has partnered with CellTrust to launch...
KBS Realty Advisors Promotes Hiep Diep to Senior Vice President
January 19, 2018
KBS Realty Advisors, a private equity real estate company and registered investment advisor, has promoted Hiep Diep to senior vice...
Moody National REIT II Resumes Sales, Increases Distributions and Lowers Commissions
January 18, 2018
Moody National REIT II Inc., a publicly registered non-traded real estate investment trust, has resumed offering shares in its $1...
Ameriprise Hit with $320 Million Tax Impact in the Fourth Quarter of 2017
January 18, 2018
Ameriprise Financial Inc. (NYSE: AMP), one of the nation’s largest independent broker-dealers, reported that the recently enacted Tax Cuts and...
Windy City Crypto Launches $150 Million Reg D Crypto Fund
January 18, 2018
Windy City Crypto LLC has launched the Crypto Futura Fund, a private investment fund that seeks to capitalize on the...
Triloma EIG Energy Income Funds Invest in Oil and Gas Exploration Company
January 18, 2018
Triloma EIG Energy Income Fund and Triloma EIG Energy Income Fund - Term I, two unlisted investment companies that focus...
FINRA Bars Former Dawn Bennett Associate
January 17, 2018
The Financial Industry Regulatory Authority has barred Bradley Mascho for refusing to appear for on-the-record testimony relating to its investigation...
Fiduciary Groups Call for Restricted Use of “Financial Advisor” Title
January 17, 2018
Two fiduciary advocacy groups, the CFA Institute and the Committee for the Fiduciary Standard, submitted letters to the Securities and...
