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SEC Fines Wedbush $250,000 to Settle Failure to Supervise Charge

Wedbush Securities Inc. will pay a $250,000 penalty and has agreed to be censured to settle a failure to supervise charge in a pending...

SEC Charges Texas Radio Host in $19.6 Million Ponzi Scheme Targeting...

The Securities and Exchange Commission has charged William Neil "Doc" Gallagher, the self-styled "Money Doctor" featured on three Dallas-area radio stations, in an emergency...

SEC Settles with 79 Investment Firms for Mutual Fund Sales, Firms...

The Securities and Exchange Commission has settled charges against 79 investment advisers that will return more than $125 million to clients, with a substantial...

BB&T to Return More Than $5 Million to Retail Investors to...

The Securities and Exchange Commission announced that BB&T Securities has agreed to return more than $5 million to retail investors and pay a $500,000...

Hines Global REIT Sells San Francisco Building for $342.5 Million, Issues...

Hines Global REIT Inc., a publicly registered non-traded real estate investment trust, has completed the sale of 550 Terry Francois, a six-story Class A...

SEC Bars Former Metlife Broker Imprisoned for Mail Fraud

The Securities and Exchange Commission has barred former Metlife Securities broker John Austin Gibson Jr. who plead guilty and was convicted of mail fraud...

Midas Names Administrator for New Opportunity Zone Fund

Midas Opportunity Zone Fund LLC, a Reg D opportunity zone fund managed by Midas Hospitality, has hired SS&C GlobeOp to provide administration, treasury and...

SEC Charges Atlanta Investment Adviser with Defrauding a Private Fund and...

The Securities and Exchange Commission has charged an Atlanta investment adviser and an entity he controls with defrauding a private fund they managed and...

GPB Capital Hires In-House Communications Executive

GPB Capital Holdings LLC, a New York-based alternative asset management firm, has hired Brian Weisenberger as managing director to lead the firm’s new in-house...

CIM Launches Opportunity Zone Fund with $5 Billion Fundraising Goal

CIM Group, a commercial real estate firm that sponsors non-traded direct investment programs, has launched the CIM Opportunity Zone Fund L.P., a Regulation D...