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Waypoint Expands Affiliated Broker-Dealer Team with Five New Hires

Waypoint Real Estate Investments, a real estate investment firm focused on the U.S. rental housing sector, has added five regional wholesalers to its affiliated...

FINRA Releases Questions for SEC’s Reg BI Compliance Review

The Financial Industry Regulatory Authority has released its 2020 risk monitoring and examination priorities letter which highlights the areas of focus for its risk...

PREP Securities Expands Distribution Team with Eight Senior Sales Professionals

PREP Securities LLC, the broker-dealer affiliate of PREP Property Group, has expanded its distribution team with the addition of several senior professionals, and will...

Concorde Expands Team with Two Senior Executive Hires

Concorde Investment Services, a broker-dealer and subsidiary of Concorde Holdings, has named Lori Kamen as chief compliance officer and Melissa Shrimpton as operations manager. Kamen...

Former Ladenburg Chairman Files Lawsuit to Halt Advisor Group Merger

Ladenburg Thalmann Financial Services Inc.’s former chairman and its largest shareholder, Phillip Frost, has filed a lawsuit against the firm following its proposed merger...

FINRA Fines Five Firms $1.4 Million for Failing to Reasonably Supervise...

The Financial Industry Regulatory Authority has fined five broker-dealers a total of $1.4 million for failing to properly monitor custodial accounts established under the...

Private Equity-Backed Wealth Enhancement Group to Buy $990 Million Hybrid

Wealth Enhancement Group, an independent wealth management firm that oversees $15.1 billion in client assets, has agreed to purchase BPU Investment Management Inc., a...

ADISA Names 2020 Board of Directors

The Alternative & Direct Investment Securities Association (ADISA), a trade association representing the alternative and direct investment space, announced the 2020 directors for its...

KBS Growth & Income REIT Lowers NAV Per Share, Mulls Strategic...

The board of KBS Growth & Income REIT Inc., a publicly registered non-traded REIT, has approved an estimated net asset value of $8.43 per...

Wentworth Buys $2.7 Billion Hybrid

Wentworth Management Services LLC, an independent broker-dealer holding company, has acquired Aurora Private Wealth, a Rockaway, New Jersey-based hybrid registered investment advisor/IBD firm that...