GPB Capital Hires Former SEC Examiner as Managing Director and Chief Compliance Officer

January 9, 2019

InvenTrust Closes $750 Million Unsecured Credit Facility

January 4, 2019

JLL Income Property Trust Expands and Extends Credit Facility

December 26, 2018

Two Griffin Non-Traded REITs to Merge

December 21, 2018

Prospera Financial Adds $150 Million Team from UBS

November 30, 2018

Griffin-American Healthcare REIT IV Secures Credit Facility of Up to $650 Million

November 28, 2018

Merrill Lynch Reverses Ban on Commission-Based Retirement Accounts

August 31, 2018

SEC: Merrill Lynch to Pay $8.9 Million for Undisclosed Conflict in Advisory Decision

August 21, 2018

FINRA Suspends Former Morgan Stanley Broker for Forging Client’s Loan Docs

August 1, 2018

Griffin Capital Essential Asset REIT II Increases Credit Facility by $200 Million

July 12, 2018

Ousted Merrill Lynch Managing Director Launches RIA in Chicago

July 12, 2018

LPL Financial Nabs Mike Duffy and Happiness Wealth Management

July 10, 2018

LPL Taps Former UBS Exec as New Managing Director and Head of Business Development

June 26, 2018

SEC Fines Merrill Lynch $42 Million for Misleading Customers about Trading Venues

June 20, 2018

Merrill Lynch Reconsiders Commission Ban in Wake of Fiduciary Rule Demise

June 18, 2018

FINRA Bars Former USBI Broker for Allegedly Stealing REIT Investment Funds to Pay Mortgage

June 11, 2018

LPL Recruits Financial Advisor with $123 Million in Client Assets

April 25, 2018

KBS REIT II Closes $500 Million Financing Agreement

April 12, 2018

SEC Charges Merrill Lynch with Gatekeeping Failures in Unregistered Securities Sales

March 9, 2018

Securities America First Major IBD to Allow Advisors to Text Clients

January 19, 2018