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SEC and NASAA Issue Summary of Securities Laws Relating to Opportunity...

The Securities and Exchange Commission and the North American Securities Administrators Association (NASAA) have issued a summary that explains the application of the federal...

Western Capital CEO Sentenced to 18 Years for Defrauding O&G Investors

Daniel Christopher Walsh, a Galveston oilman was sentenced to 18 years in state prison after reaching a plea agreement in his fraud trial in...

Shorewood, Bridge and Capricorn Partner on NYC OZ Multifamily Project

Shorewood Real Estate Group, a real estate investment firm, announced its $155 million opportunity zone partnership with Bridge Investment Group LLC and Capricorn Investment...

SEC Bars Longtime MetLife Broker for Stealing from Clients’ Insurance Policies

The Securities and Exchange Commission has barred longtime Metlife Securities broker Kwen Y. Chun after he was found guilty of taking out loans against...

Texas Regulators Issue Cease and Desist Against Texas Oilman Promising 70%...

The Texas State Securities Board has entered an emergency cease and desist order to stop the ongoing fundraising efforts of Michael E. Patman, the...

Voya Launches Robo-Advice Platform

Voya Financial Advisors Inc., retail wealth management arm of Voya Financial Inc., has launched a new hybrid digital advice platform for its network of...

Energy Capital Partners Acquires Convergent Energy + Power

Energy Capital Partners, a private equity and credit investment firm with $19 billion in capital commitments, has acquired Convergent Energy + Power (Convergent), an...

SEC Charges Former LPL Broker and Convict Friend for Selling Unregistered...

The Securities and Exchange Commission has charged Thomas Conwell and his childhood friend and former LPL broker, Kerry Hoffman, for fraudulently selling securities to...

JLL Income Property Trust Buys Medical Office Campus in San Diego

JLL Income Property Trust, a daily NAV REIT (NASDAQ: ZIPTAX; ZIPTMX; ZIPIAX; ZIPIMX) has purchased Genesee Plaza, a Class A, two-building medical office campus...

SEC Bars Investment Adviser Charged with Defrauding Retail Investment Advisory Clients

The Securities and Exchange Commission has charged Fieldstone Financial Management Group LLC and its principal Kristofor Behn, with defrauding retail investment advisory clients by...