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News |Company |Sponsors | May 11 2017

MacKenzie Affiliate Completes UDF IV Tender Offer

SCM Special Fund 3 And Lemon Creek Advisers, affiliates of Mackenzie Capital Management and Sutter Capital Management respectively, have purchased 37,890 shares of United…

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News |Company |Sponsors | May 10 2017

LPL Recruits Former Merrill Lynch Team Seeking Greater DOL Flexibility

LPL Financial LLC, a leading independent broker-dealer and retail investment advisory firm, announced that The Choice Group Wealth Management has joined LPL’s broker-dealer and…

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News |Company |Sponsors | May 10 2017

Inland Securities Continues to Overhaul Sales Team

Inland Securities Corporation has hired Anthony Guzzetta as a senior vice president – external wholesaler. In his position, he will work to build relationships with current and new…

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News |Company |Broker-Dealers | May 10 2017

Broker-Dealers Adopting NASAA Fee Disclosure Model

The North American Securities Administrators Association announced that nine more securities firms have agreed to provide their clients with a fee disclosure schedule based on a…

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News |Company |Sponsors | May 09 2017

Corporate Capital Trust Director Resigns Following Police Chase

Corporate Capital Trust Inc., a business development company sponsored by CNL Financial Group and KKR & Co., announced that Kenneth C. Wright resigned from the company’s board of…

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News |Company |Sponsors | May 09 2017

Kovack Securities Acquires Small California Broker-Dealer

Kovack Securities Inc., an independent broker-dealer and registered investment adviser, has acquired the assets of TKG Financial, an independent broker-dealer and financial…

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News |Company |Sponsors | May 09 2017

CION Investments Hires Managing Director

CION Investments, a manager of alternative investments, has hired Geoffrey Manna to serve as a managing director at the company. In his new role, he will lead the firm’s direct…

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Sponsored Content: New Strategies for New Times in the Retail Alternative Investment Industry

As the retail alternative investment industry continues its dynamic evolution, new opportunities are opening up as others pullback.  “The public, non-listed REIT sector is…

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LPL to Pay Restitution to Vermont Investors over Improper NTR Sales

The Vermont Department of Financial Regulation reached a settlement with broker-dealer LPL Financial to reimburse $460,000 to eight Vermont investors and pay the state a penalty of…

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News |Company |Sponsors | May 08 2017

Resource Innovation Office REIT Reveals Additional Restructuring Details

Resource Innovation Office REIT Inc., a publicly registered non-traded real estate investment trust, has changed its name and renamed its Class T shares amid its restructuring…

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News |Company |Sponsors | May 08 2017

InvenTrust Increases Net Asset Value

InvenTrust Properties Corp., a publicly registered non-traded REIT formerly known as Inland American Real Estate Trust, declared a new estimated net asset value of $3.29 per share…

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News |Company |Sponsors | May 08 2017

MacKenzie Completes Benefit Street Partners Realty Trust Tender Offer

MacKenzie Realty Capital Inc., a non-traded business development company, purchased 11,805 shares of Benefit Street Partners Realty Trust Inc. for $12.05 each in its latest tender…

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News |Company |Sponsors | May 05 2017

Private Equity Firm to Acquire Non-Traded REIT for $825 million

Affiliates of Kayne Anderson Real Estate Advisors, the real estate private equity arm of Kayne Anderson Capital Advisors L.P., entered into a definitive merger agreement to acquire…

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News |Company |Sponsors | May 05 2017

Rufrano: Advisory Group and Cetera Re-Engage with Cole, ARCP-Related Suits Progressing

Vereit (NYSE: VER), the publicly-traded real estate investment trust formerly known as American Realty Capital Properties Inc. and parent company of Cole Capital, released its…

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LPL to Pay up to $8 Million to NH Investors over Unsuitable NTR Sales

In December 2015, the New Hampshire Bureau of Securities Regulation entered into a consent order with broker-dealer LPL Financial LLC related to the improper sale of non-traded…

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News |Company |Broker-Dealers | May 04 2017

Ameriprise Reports 11% Increase in Net Income and 5% Growth in Net Revenues

Ameriprise Financial Inc. (NYSE: AMP), one of the nation’s largest independent broker-dealers, reported its financial results for the first quarter 2017.  • Net income totaled…

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News |Company |Sponsors | May 04 2017

CION Adds Nicholson and Hatibi to Sales Team

CION Investments, a manager of alternative investments, has hired Robert Nicholson and Andre Hatibi as senior vice presidents. Before joining CION, Nicholson served as a senior…

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News |Company |Sponsors | May 04 2017

CNL Growth Continues to Pursue Liquidation with Sale of Arizona Multifamily Property

CNL Growth Properties Inc., a publicly registered non-traded REIT, continues with its plan of liquidation with its latest agreement to sell a joint venture multifamily property…

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SEC, FINRA Announce National Compliance Outreach Program for Broker-Dealers

The Securities and Exchange Commission and the Financial Industry Regulatory Authority are holding their National Compliance Outreach Program for Broker-Dealers on July 27 and will…

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News |Company |Sponsors | May 03 2017

Former ARC Hospitality Trust Completes $1.2 Billion Refinancing and Portfolio Acquisition

Hospitality Investors Trust Inc, a publicly registered non-traded REIT formerly known as American Realty Capital Hospitality Trust, refinanced two loans and completed the…

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