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SEC Charges Three Former KPMG Audit Partners for Exam Sharing Misconduct

The Securities and Exchange Commission has settled charges against three former KPMG LLP audit partners who allegedly shared answers to internal training exams and...

Griffin Capital Essential Asset REIT Reports 2020 First Quarter Results

Griffin Capital Essential Asset REIT Inc., a publicly registered non-traded real estate investment trust, announced its results for the quarter ended March 31, 2020. The...

Legion Capital Adds Former GWG Executive and Two Wholesalers to Team

Legion Capital, a specialized private equity lender offering short-term bonds and redeemable preferred stock, has hired former GWG Holdings executive, Jason Plucinak, as vice...

SEC Qualifies Legion Capital’s Reg A+ Bond and Preferred Stock Offering

Legion Capital Corporation, a boutique private equity firm and specialized business lender headquartered in Orlando, has been qualified by the Securities and Exchange Commission...

CORE Pacific Advisors Fully Subscribes DST Offering of Alabama Multifamily Property

CORE Pacific Advisors, a Delaware statutory trust sponsor located in Newport Beach, California, has fully subscribed the capital raise requirements for CPA Barrington Apartments...

FINRA Issues Notice on Pandemic-Related Business Continuity Planning

Due to the recent outbreak of coronavirus disease (COVID-19), the Financial Industry Regulatory Authority has issued a notice reminding firms to consider business continuity...

Report: FINRA Fines, Restitution and Cases Plummet in 2019

An annual report by global law firm Eversheds Sutherland on disciplinary actions reported by the Financial Industry Regulatory Authority found that in 2019, fines,...

SEC Fines Actor Steven Seagal for Unlawfully Promoting Crypto Offering

The Securities and Exchange Commission has settled charges against actor Steven Seagal for failing to disclose payments he received for promoting an investment in...

Ladenburg Thalmann Completes Merger with Advisor Group

Ladenburg Thalmann Financial Services Inc., a financial services company, has completed its merger with Advisor Group Inc., one of the nation's largest networks of...

Ladenburg Shareholders Approve Merger with Advisor Group

Shareholders of Ladenburg Thalmann Financial Services (NYSE: LTS), a publicly traded financial services firm, have approved the company’s proposed merger with Advisor Group, one...