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Monthly Archives: February 2018

SEC Examination Priorities Identify Fee Disclosures for Retail Investors

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) announced its 2018 examination priorities, which are published annually to improve compliance,...

Vereit Restitution Claim Against Ex-ARCP CFO Denied

United States District Judge J. Paul Oetken has denied a $35 million restitution request by Vereit Inc. (formerly American Realty Capital Properties) following the...

Ladenburg Thalmann Names John Blood as SVP of Advisory Services and Solutions

Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), a publicly-traded financial services company, appointed John Blood as senior vice president of advisory services and solutions. In...

Preferred Capital Securities Adds Derek Bonner to Sales Team

Preferred Capital Securities LLC, the dealer manager for Preferred Apartment Communities Inc. (NYSE: APTS), has hired Derek Bonner as associate vice president for its...

Strategic Storage Trust IV Now Accepting Subscriptions from Pennsylvania Residents

Strategic Storage Trust IV Inc., a publicly registered non-traded real estate investment trust sponsored by SmartStop Asset Management LLC, has surpassed $50 million in...

ARC NYC REIT Launches $30 Million Tender Offer in Response to Unsolicited Tender Offer

American Realty Capital New York City REIT Inc., a non-traded real estate investment trust sponsored by AR Global, has launched a $30 million tender...

Ladenburg’s Securities Service Network Recruits Five NPH Firms

Securities Service Network LLC, an independent advisory and brokerage firm, has recruited five independent financial advisory practices with a total of 16 independent advisors...

Rodin Global Property Trust and its Sponsor Buy South Carolina Daimler Trucks Property

Rodin Global Property Trust Inc., a publicly registered non-traded real estate investment trust, and its sponsor Cantor Fitzgerald Investors LLC, have acquired a 150,000-square-foot...

Resource Real Estate Opportunity REIT Appoints Robert Lieber to Board

The board of Resource Real Estate Opportunity REIT Inc., a publicly registered non-traded real estate investment trust, appointed Robert Lieber to serve as a...

FINRA Fines Wedbush Securities $1.5 Million for SEC Rule Violations

The Financial Industry Regulatory Authority has fined Wedbush Securities Inc. $1.5 million for violating the Securities and Exchange Commission’s customer protection and net capital...
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