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Watermark Residential and 3G Capital Close $105 Million Private Equity Fund

Watermark 3G Multifamily Development Fund II, a private equity fund sponsored by Watermark Residential and boutique real estate advisory firm 3G Capital Advisors LLC,...

Guest Contributor: Where Alts Sponsors Playing in the Retail Space Can...

By Mike Huisman, Head of Alternative Product Solutions at Envision Financial Systems The opportunity for alternative investment sponsors couldn’t be clearer. With most institutions (and...

Federal Opportunity Zone Program Under Investigation by Treasury’s Internal Watchdog

Acting Treasury Inspector General Richard Delmar told NBC News on Thursday that the Treasury Department’s internal watchdog plans to investigate the federal opportunity zone...

SEC Bars Longtime Broker Who Pled Guilty to Defrauding Retail Investors

The Securities and Exchange Commission has barred a Connecticut investment adviser after he pleaded guilty last month to one count of wire fraud for...

Court Orders Tech Fund Adviser Charged by SEC to Pay More...

A federal district court has ordered San Francisco-based fund adviser Michael B. Rothenberg to pay more than $31 million in disgorgement, prejudgment interest, and...

Concorde Expands Team with Two Senior Executive Hires

Concorde Investment Services, a broker-dealer and subsidiary of Concorde Holdings, has named Lori Kamen as chief compliance officer and Melissa Shrimpton as operations manager. Kamen...

Former Ladenburg Chairman Files Lawsuit to Halt Advisor Group Merger

Ladenburg Thalmann Financial Services Inc.’s former chairman and its largest shareholder, Phillip Frost, has filed a lawsuit against the firm following its proposed merger...

FINRA Fines Five Firms $1.4 Million for Failing to Reasonably Supervise...

The Financial Industry Regulatory Authority has fined five broker-dealers a total of $1.4 million for failing to properly monitor custodial accounts established under the...

Cole Office & Industrial REIT Declares Special Distribution

The board of Cole Office & Industrial REIT Inc. (CCIT II), a publicly registered non-traded real estate investment trust, has authorized a $1.03 per...

SEC Proposes to Expand Accredited Investor Definition

The Securities and Exchange Commission proposed amendments on Wednesday to expand the definition of accredited investor, one of the principal tests for who is...