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SEC Obtains Fraud Judgment Against Former Adviser Who Stole $1.9 Million...

The Securities and Exchange Commission has obtained a final judgment against Jay Costa Kelter, a former registered investment adviser and registered representative who was...

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...

KBS REIT II Reports Lower NAV

The board of KBS Real Estate Investment Trust II, a publicly registered non-traded REIT sponsored by KBS, has approved an estimated net asset value...

Commonwealth Recruits $1 Billion Hybrid from Securian Financial

Commonwealth Financial Network, the nation’s largest private registered investment adviser and independent broker-dealer, has added Legacy Planning Partners to its platform. Formerly affiliated with...

SDNY Dismisses States’ Lawsuit Against SEC Broker Advice Rule

The federal lawsuit filed by eight attorneys general against the Securities and Exchange Commission over its broker advice rule has been dismissed by the...

Another KBS REIT Replaces External Advisor with Pacific Oak

KBS Strategic Opportunity REIT, a publicly registered non-traded real estate investment trust, will terminate its advisory agreement with KBS Capital Advisors LLC, effective October...

KBS Strategic Opportunity REIT II Replaces External Advisor

KBS Strategic Opportunity REIT II, a publicly registered non-traded real estate investment trust, has terminated its advisory agreement with KBS Capital Advisors LLC, effective...

SEC: Cetera Investment Advisers to Pay $185,000 for Solicitation Disclosure Violations

Cetera Investment Advisers LLC, a registered investment adviser affiliated with Cetera Financial Group Inc., will pay a penalty of $185,000 to settle SEC charges...

XY Planning Network Files Lawsuit to Challenge SEC’s Regulation Best Interest...

XY Planning Network (XYPN), a financial planning platform for fee-only financial advisors founded by Alan Moore and Michael Kitces, has filed a lawsuit in...

States Sue SEC Over Broker Advice Rule

A group of eight attorneys general filed a federal lawsuit on Monday in the Southern District of New York, challenging the Securities & Exchange...