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SEC Bars Former Questar Rep Serving Time for 15-Year Ponzi Scheme

The Securities and Exchange Commission has barred a former Questar Capital registered representative currently serving 11 years in prison for his role in perpetrating...

FINRA Bars Former Merrill Lynch Broker Allegedly Faking Childcare Reimbursement Requests

The Financial Industry Regulatory Authority has barred former Merrill Lynch broker Elizabeth Marie Garcia for allegedly filing fake childcare expense reimbursement requests. From January 2016...

FINRA Bars Former Fidelity Rep for Alleged Computer Purchase Reimbursement Scam

The Financial Industry Regulatory Authority has barred Kitwana Thomas, a former Fidelity Brokerage Services broker, for allegedly cheating the firm out of thousands of...

GPB Capital Hires Former SEC Examiner as Managing Director and Chief...

GPB Capital Holdings LLC, a New York-based alternative asset management firm, has hired Michael Cohn as managing director and chief compliance officer. Cohn was...

InvenTrust Closes $750 Million Unsecured Credit Facility

InvenTrust Properties Corporation, a publicly registered non-traded real estate investment trust, has closed on a $750 million amended and restated unsecured credit facility, increasing...

JLL Income Property Trust Expands and Extends Credit Facility

JLL Income Property Trust, an institutionally managed daily NAV REIT (NASDAQ: ZIPTAX; ZIPTMX; ZIPIAX; ZIPIMX), has closed on the expansion and extension of a...

Two Griffin Non-Traded REITs to Merge

Griffin Capital Essential Asset REIT Inc. and Griffin Capital Essential Asset REIT II Inc., two non-traded real estate investment trusts, have entered into a...

Prospera Financial Adds $150 Million Team from UBS

Prospera Financial Services Inc., a full-service independent broker-dealer, has added LiveOak Wealth Advisors to its platform. Based in Lafayette, Louisiana, the LiveOak team spent nine...

Griffin-American Healthcare REIT IV Secures Credit Facility of Up to $650...

Griffin-American Healthcare REIT IV Inc., a publicly registered non-traded real estate investment trust sponsored American Healthcare Investors LLC and Griffin Capital Corporation, has entered...

Merrill Lynch Reverses Ban on Commission-Based Retirement Accounts

Merrill Lynch, the wealth management arm of Bank of America, is reversing its ban on commission-based products in customer retirement accounts following the death...