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Captrust Secures Private Equity Funding from GTCR

Captrust Financial Advisors, an independent registered investment advisor with $390 billion in client assets under advisement, has received a 25 percent minority growth investment...

LPL Financial Recruits $400 Million Team from Securities America

LPL Financial LLC, the nation’s independent broker-dealer, has added Nicklas Financial to its broker-dealer, corporate registered investment advisor and custodial platforms. Nicklas Financial advisors serves...

Inland Securities Appoints External Wholesaler of Northern California Territory

Inland Securities Corporation, the dealer manager and placement agent for real estate investment programs sponsored by Inland Real Estate Investment Corporation and Inland Private...

LaSalle St. Recruits $600 Million Hybrid from Cambridge

LaSalle St., a group of independent wealth management firms, has added Stiles Financial Services Inc. to its broker-dealer platform. The Edina, Minnesota-based firm oversees...

TriLinc Global Impact Fund Invests in Packaging Manufacturer in Ecuador

TriLinc Global Impact Fund, a publicly registered non-traded limited liability company, has approved a nearly $3.3 million term loan transaction in Latin America. The $3.3...

FINRA Orders Stifel to Pay $3.6 Million for Alleged Unit Investment...

The Financial Industry Regulatory Authority has ordered Stifel, Nicolaus & Company, Incorporated to pay approximately $1.9 million in restitution, plus interest, to more than...

JVM Securities Appoints Industry Veteran as New President

JVM Securities LLC, the brokerage and distribution arm of JVM Realty Corporation, has appointed Holly Onachilla as president. In her new position, Onachilla will assume...

LPL Financial to Buy $2 Billion Hybrid with 35 Advisors

LPL Financial LLC, the nation’s largest independent broker-dealer, has agreed to purchase the assets of E.K. Riley Investments LLC, a broker-dealer and registered investment...

FS KKR Capital Corp. II to List on the NYSE Next...

FS KKR Capital Corp. II (FSK II), a non-traded business development company, has commenced the final steps to prepare for listing on the New...

Massachusetts Securities Division Charges GPB for Allegedly Defrauding Investors

The Massachusetts Securities Division has charged GPB Capital Holdings with allegedly violating state securities laws, after an investigation found that the company purportedly issued...