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SEC Enforcement Actions Increase 9% in 2022, Record Monetary Penalties Issued

The Securities and Exchange Commission announced that it filed 760 total enforcement actions during fiscal year 2022, a 9% increase over 2021. Monetary penalties...

SEC Loses Legal Battle Against Tennessee RIA

After three years in a legal battle with the Securities and Exchange Commission, CapWealth Advisors found favor from a jury in Tennessee’s middle district. The...

Apollo Debt Solutions BDC Appoints Chief Legal Officer and Corporate Secretary

The board of Apollo Debt Solutions BDC, a non-traded business development company managed by a subsidiary of Apollo Global Management, has appointed Kristin Hester...

IPA Hires Former LPL Executive as VP of Government Affairs and...

The Institute for Portfolio Alternatives, a trade group representing the non-traded direct investment industry, has hired Gina Gombar as vice president of government affairs...

Veteran REIT Attorney Joins MMM Real Estate Capital Markets Group

Morris, Manning & Martin LLP, an industry law firm, has added alternative investment veteran Howard Hirsch to its real estate capital markets group. According to...

Former Cetera Broker Sentenced to Federal Prison for Fraud

A former Cetera Advisor Networks broker who defrauded clients out of more than $1 million has been sentenced to five years in federal prison...