MacKenzie Affiliate Completes UDF IV Tender Offer
May 11, 2017
SCM Special Fund 3 And Lemon Creek Advisers, affiliates of Mackenzie Capital Management and Sutter Capital Management respectively, have purchased...
Stephanie Adamson
Articles
LPL Recruits Former Merrill Lynch Team Seeking Greater DOL Flexibility
May 10, 2017
LPL Financial LLC, a leading independent broker-dealer and retail investment advisory firm, announced that The Choice Group Wealth Management has...
Inland Securities Continues to Overhaul Sales Team
May 10, 2017
Inland Securities Corporation has hired Anthony Guzzetta as a senior vice president – external wholesaler. In his position, he will...
Broker-Dealers Adopting NASAA Fee Disclosure Model
May 10, 2017
The North American Securities Administrators Association announced that nine more securities firms have agreed to provide their clients with a...
Corporate Capital Trust Director Resigns Following Police Chase
May 9, 2017
Corporate Capital Trust Inc., a business development company sponsored by CNL Financial Group and KKR & Co., announced that Kenneth...
Kovack Securities Acquires Small California Broker-Dealer
May 9, 2017
Kovack Securities Inc., an independent broker-dealer and registered investment adviser, has acquired the assets of TKG Financial, an independent broker-dealer...
CION Investments Hires Managing Director
May 9, 2017
CION Investments, a manager of alternative investments, has hired Geoffrey Manna to serve as a managing director at the company....
Sponsored: New Strategies for New Times in the Retail Alternative Investment Industry
May 9, 2017
As the retail alternative investment industry continues its dynamic evolution, new opportunities are opening up as others pullback. “The public, non-listed...
LPL to Pay Restitution to Vermont Investors over Improper NTR Sales
May 8, 2017
The Vermont Department of Financial Regulation reached a settlement with broker-dealer LPL Financial to reimburse $460,000 to eight Vermont investors...
Resource Innovation Office REIT Reveals Additional Restructuring Details
May 8, 2017
Resource Innovation Office REIT Inc., a publicly registered non-traded real estate investment trust, has changed its name and renamed its...
InvenTrust Increases Net Asset Value
May 8, 2017
InvenTrust Properties Corp., a publicly registered non-traded REIT formerly known as Inland American Real Estate Trust, declared a new estimated...
MacKenzie Completes Benefit Street Partners Realty Trust Tender Offer
May 8, 2017
MacKenzie Realty Capital Inc., a non-traded business development company, purchased 11,805 shares of Benefit Street Partners Realty Trust Inc. for...
Private Equity Firm to Acquire Non-Traded REIT for $825 million
May 5, 2017
Affiliates of Kayne Anderson Real Estate Advisors, the real estate private equity arm of Kayne Anderson Capital Advisors L.P., entered...
Rufrano: Advisory Group and Cetera Re-Engage with Cole, ARCP-Related Suits Progressing
May 5, 2017
Vereit (NYSE: VER), the publicly-traded real estate investment trust formerly known as American Realty Capital Properties Inc. and parent company...
Bill to Replace Dodd-Frank and Kill DOL Fiduciary Rule Passes Key House Committee Vote
May 5, 2017
The House Financial Service Committee approved legislation on Thursday that seeks to repeal certain Dodd-Frank banking and securities regulations. The...
LPL to Pay up to $8 Million to NH Investors over Unsuitable NTR Sales
May 5, 2017
In December 2015, the New Hampshire Bureau of Securities Regulation entered into a consent order with broker-dealer LPL Financial LLC...
Mewbourne Development Corporation Program Added to AI Insight Platform
May 5, 2017
AI Insight, a leader in alternative investment education for broker-dealers and advisors, has activated new offerings for training and review...
Ameriprise Reports 11% Increase in Net Income and 5% Growth in Net Revenues
May 4, 2017
Ameriprise Financial Inc. (NYSE: AMP), one of the nation’s largest independent broker-dealers, reported its financial results for the first quarter...
CION Adds Nicholson and Hatibi to Sales Team
May 4, 2017
CION Investments, a manager of alternative investments, has hired Robert Nicholson and Andre Hatibi as senior vice presidents. Before...
CNL Growth Continues to Pursue Liquidation with Sale of Arizona Multifamily Property
May 4, 2017
CNL Growth Properties Inc., a publicly registered non-traded REIT, continues with its plan of liquidation with its latest agreement to...
