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SEC Obtains Final Judgement Against Cetera Advisors and Cetera Advisor Networks...

The Securities and Exchange Commission obtained a final judgment against defendants Cetera Advisors LLC and Cetera Advisor Networks LLC, whom the SEC previously charged...

Montego Minerals Closes Thirteenth Portfolio for $11.7 Million

Montego Minerals, an investor in oil and gas royalties and mineral rights in the Permian Basin, has closed its thirteenth portfolio, Edgewood Minerals LLC. The...

IGRE Adds Industry Veteran Bill Cerelli to Sales Team

Investment Grade R.E. Income Fund LP, a $100 million Regulation A+ fund that owns and operates a portfolio of single-tenant, triple net leased medical,...

SEC Sanctions “Fraud Guarantee” Principal for Fraud

The U.S. District Court for the Southern District of New York entered a final consent judgment against Florida resident Lev Parnas, a Soviet-born businessman,...

SEC Accepts Offer of Settlement from Former Merrill Lynch Advisor

The Securities and Exchange Commission has accepted an Offer of Settlement from Shaun P. Golden, a former advisor for Merrill Lynch. Golden is the president,...

SEC Obtains Final Judgment Against Edward Jones Advisor

The Securities and Exchange Commission has obtained a final judgment against Ronald T. Molo, a former investment professional at Edward Jones for more than...

SEC Charges Former LPL Rep with Defrauding Elderly Client

The Securities and Exchange Commission charged Bradley A. Goodbred, a former registered representative with LPL Financial, with stealing $1.3 million from an elderly client,...

SEC’s Electronic Messaging Sweep is a Warning Shot for Broker-Dealers and...

By ordering more than $1.1 billion in penalties against the world’s largest banks and brokerages based on admissions of willful violative conduct, the Securities...

IGRE Acquires Coterra Energy Facility

Investment Grade R.E. Income Fund, LP, a $100 million Regulation A+ fund that owns and operates a portfolio of single-tenant, triple net leased medical,...

SEC Bars Former Ameriprise Financial Investment Advisor

The Securities and Exchange Commission has barred Arthur S. Hoffman, a former investment adviser representative of Ameriprise Financial Services. Hoffman began his career at Morgan...

SEC Charges Former Advisor with Misappropriation of Client Funds

The Securities and Exchange Commission has charged David Sheldon Wells, a former representative of an SEC-registered broker-dealer and investment advisory firm, Fifth Third Securities...

IGRE LP Names New National Sales Director

Investment Grade R.E. Income Fund, LP, a real estate investment company that owns and operates a portfolio of single-tenant, triple net leased medical, office,...

SEC Begins Administrative Proceedings Against Broker Serving 7.5 Years in Federal...

The Securities and Exchange Commission has instituted public administrative proceedings against Leon Vaccarelli, a former broker and investment adviser who is currently serving 7.5...

Baker Tilly Hires Seasoned Asset Management Executive

Baker Tilly US LLP, a leading advisory CPA firm and sponsor of tax-advantaged real estate investments, has added Jaime Avery to its real estate...

Montego Minerals Closes Seventh Investment Fund

Montego Minerals, an investor in oil and gas royalties and mineral rights in the Permian Basin, has closed its seventh 1031-eligible portfolio, Silver Peak...

Integris Real Estate Investments Launches Opportunity Zone Fund

Integris Real Estate Investments, a sponsor of non-traded direct investment offerings, has launched Integris DLV Opportunity Zone Fund, a qualified opportunity zone fund that...

Montego Minerals Closes Sixth Investment Fund

Montego Minerals, an investor in oil and gas royalties and mineral rights in the Permian Basin, has closed its sixth 1031-eligible portfolio, Midland Peak...

Montego Minerals Closes Fifth Investment Fund

Montego Minerals, an investor in oil and gas royalties and mineral rights, has closed its fifth 1031 exchange-eligible private placement fund, Midland Mesa Minerals...

IGRE Capital Holdings Hires Senior Vice President of Distribution

IGRE Capital Holdings LLC, the general partner of Investment Grade R.E. Income Fund LP, a Regulation A+ Tier 2 investment fund, has hired Mindey...

Baker Tilly Capital Launches First Opportunity Zone Investment Fund

Baker Tilly Capital has launched its first opportunity zone investment fund, The Rail Yard QOF LLC, to develop a mixed-use multifamily property called The...