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NASAA: State Regulators Ready to Help During Partial SEC Shutdown

The North American Securities Administrators Association has reported that state securities regulators are unaffected by the partial shutdown of the federal government and available...

Cato Institute Sues SEC to End Gag Rule

The Cato Institute, a non-profit libertarian think tank and publisher, is suing the Securities and Exchange Commission to challenge what it believes is an...

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...

Starwood REIT Buys Six Multifamily Properties After Breaking Escrow

Starwood Real Estate Income Trust, Inc., a publicly registered non-traded REIT sponsored by global real estate investment manager Starwood Capital Group, has purchased six...

SEC Bars Former LPL Broker and Bank Manager Convicted of Embezzlement

The Securities and Exchange Commission has barred Stephen Thomas Carbonella, a former LPL Financial broker and bank manager who was sentenced last month to...

Starwood’s $5 Billion REIT Breaks Escrow

Starwood Real Estate Income Trust, Inc., a publicly registered non-traded REIT sponsored by global real estate investment manager Starwood Capital Group, has broken escrow...

SEC Charges Two Robo-Advisers with Making False Statements

The Securities and Exchange Commission has instituted settled proceedings against two robo-advisers for making false statements about investment products and publishing misleading advertising. The...

SEC Charges 13 Unregistered Brokers for Selling Woodbridge Securities to Retail...

The Securities and Exchange Commission has charged an additional 13 individuals and 10 companies for unlawfully selling securities of Woodbridge Group of Companies LLC...

SEC Sues Orange County Investment Adviser for Defrauding Clients

The Securities and Exchange Commission has charged a Laguna Niguel, California investment adviser with allegedly misappropriating client funds and misleading his clients about how...

Red Oak Capital Breaks Escrow on Bond Offering with $2.293 Million...

Red Oak Capital, a private equity firm specializing in commercial real estate, has broken escrow on its latest bond offering with a $2.293 million...