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SEC Charges Former Georgia State Legislator with Defrauding Investors in Alleged...

The Securities and Exchange Commission has charged Clarence Dean Alford, a former Georgia state legislator and former member of the Georgia Board of Regents,...

Non-Traded REIT Sales Show Early Signs of Recovery During the Second...

Sales of non-traded real estate investment trusts rose to $454 million in June 2020, an 83 percent increase compared to the May total of...

SEC Bars Former LPL Advisor Over Fake African Charity

The Securities and Exchange Commission has barred former LPL Financial broker Dain Stokes, who was terminated by the broker-dealer last August after the New...

Inland Investments Expands Online Education Platform with COVID-19-Related Resources

Inland Real Estate Investment Corporation, a sponsor of non-traded real estate securities offerings, has expanded on its initial launch of The Inland Academy, an...

Non-Traded REIT Sales Drop to $250 Million in May 2020

Non-traded REIT fundraising fell to $248 million in May 2020, down 22.4 percent from $319 million in April. This follows the near record first...

Massachusetts Securities Division Charges GPB for Allegedly Defrauding Investors

The Massachusetts Securities Division has charged GPB Capital Holdings with allegedly violating state securities laws, after an investigation found that the company purportedly issued...

FINRA Fines Merrill Lynch for Allowing Unregistered Executive to Act as...

The Financial Industry Regulatory Authority has censured and fined Merrill Lynch $150,000 for purportedly allowing an executive with its non-FINRA member affiliate to function...

Non-Traded REIT Fundraising Plummets to $310 Million in April 2020

Sales of non-traded REITs declined to $310 million in April 2020, compared to $780 million in March 2020 and $2.5 billion in February and...

Destra Interval Fund Seeks Listing on National Exchange

Destra Multi-Alternative Fund, a closed-end interval fund, plans to hold a special meeting of shareholders to facilitate listing on the New York Stock Exchange...

SEC Fines Actor Steven Seagal for Unlawfully Promoting Crypto Offering

The Securities and Exchange Commission has settled charges against actor Steven Seagal for failing to disclose payments he received for promoting an investment in...