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Monthly Archives: September 2020

SEC Charges Recidivist Advisor in Alleged $1 Million Investment Fraud

The Securities and Exchange Commission has charged Clifton Curtis Sneed Jr., a recidivist securities law violator based in Texas, with defrauding investment advisory clients...

Strategic Storage Trust IV Adopts New Investor Distribution Policy

The board of Strategic Storage Trust IV Inc., a publicly registered non-traded real estate investment trust sponsored by an affiliate of SmartStop Self Storage...

Spring Hills Hires Senior Vice President of Business Development

Spring Hills Marketing, a division of Spring Hills Senior Communities, has hired Matt Peoples as senior vice president of business development. Peoples has experience in...

LPL Financial Recruits Team from Advisor Group’s Securities Service Network

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Hendrix Group Financial Services to its broker-dealer and corporate RIA platforms, which leverage LPL...

Capital Square Seeks to Target Institutional Investors with Latest Hire

Capital Square, a sponsor of tax-advantaged real estate investments, has hired industry veteran Bernard R. Vonderhaar as managing director and head of institutional fundraising. Prior...

SmartStop Self Storage REIT Changes Distribution Authorization Frequency

The board of SmartStop Self Storage REIT Inc., a publicly registered non-traded real estate investment trust formerly known as Strategic Storage Trust II Inc.,...

SEC and FINRA to Hold Roundtable on Regulation Best Interest and Form CRS

The Securities and Exchange Commission will hold a roundtable with the Financial Industry Regulatory Authority (FINRA) to discuss initial observations on the implementation of...

Ameriprise Recruits $500 Million Team from LPL Financial

Ameriprise Financial Inc. (NYSE: AMP) announced that Voyage Financial Group, a wealth management practice with nearly $500 million in client assets, has joined the...

The DI Wire Welcomes Greenbacker as a New Directory Sponsor

The DI Wire is pleased to welcome Greenbacker as the newest member of our directory.

Blackstone REIT Registers Second Follow-On Offering

Blackstone Real Estate Income Trust Inc., a publicly registered non-traded real estate investment trust sponsored by private equity giant The Blackstone Group (NYSE:BX), has...