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PREP Securities Expands Distribution Team with Eight Senior Sales Professionals

PREP Securities LLC, the broker-dealer affiliate of PREP Property Group, has expanded its distribution team with the addition of several senior professionals, and will...

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...

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...

Newly Launched Legg Mason/Clarion Partners REIT Makes First Investment

Clarion Partners Real Estate Income Fund Inc., a new non-traded real estate investment trust, has closed on its first investment, an $18 million structured...

Representatives Introduce Legislation to Expand “Accredited Investor” Definition, Again

Representatives French Hill (R-AR) and David Schweikert (R-AZ) have introduced the Fair Investment Opportunities for Professional Experts Act (H.R. 4762) to expand the definition...

New Hampshire Freezes Assets of Former LPL Advisor Over Fake African...

The New Hampshire Bureau of Securities Regulation has recently obtained a preliminary injunction and asset freeze against former LPL Financial adviser Dain F. Stokes,...

House Passes Bill to Ban Forced Arbitration

The U.S. House of Representatives passed the Forced Arbitration Injustice Repeal Act (H.R. 1423) on Friday, which prohibits pre-dispute arbitration agreements for consumer, employment,...

Stifel to Buy Missouri-Based Broker-Dealer

Stifel Financial Corp. (NYSE: SF) has agreed to buy certain assets of George K. Baum & Company, a broker-dealer that focuses on municipal securities....

SEC Charges Utah Man with Defrauding Investors in a Real Estate...

The Securities and Exchange Commission has charged Landon M. Smith of Salt Lake County, Utah with operating a real estate offering fraud and Ponzi...

SEC Charges Two Oil and Gas Execs with Defrauding Retail Investors

The Securities and Exchange Commission has charged Pennsylvania resident William Milles and Canadian resident Donald Lutzko with running an oil and gas offering fraud...