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FINRA Orders National Securities to Pay $9 Million for Multiple Violations,...

The Financial Industry Regulatory Authority has sanctioned broker-dealer National Securities Corporation approximately $9 million, including disgorgement of $4.8 million in net profits received for...

Non-Traded Alts Raise $43 Billion Through April 2022

Fundraising for non-traded alternative investments totaled $43 billion year-to-date through April 2022, a 131 percent increase over the same period of 2021. Sales of net...

Non-Traded REITs and BDCs Break Quarterly Fundraising Records

Fundraising for non-traded alternative investments totaled $32.9 billion in the first quarter of 2022, according to Robert A. Stanger and Co. Fundraising for net asset...

FINRA Fines Broker-Dealer $45,000 over GPB Private Placement Sales

The Financial Industry Regulatory Authority has fined IBN Financial Services $45,0000 over sales of GPB Capital private placement securities, according to a settlement letter...

Realto Hires Two Sales Directors

Realto Inc., an online marketplace for the secondary trading of illiquid real estate and alternative investments, has hired Lynn Berger and Shawn O’Shaughnessy to...

Geneos to Pay $400,000 to Settle FINRA Charges Involving GPB and...

The Financial Industry Regulatory Authority has fined Geneos Wealth Management $150,000 for failing to reasonably supervise its representatives’ recommendations of an alternative mutual fund...

FINRA Fines Two Broker-Dealers $115,000 over GPB Private Placement Sales

The Financial Industry Regulatory Authority has fined two broker-dealers, Dempsey Lord Smith LLC and BD4RIA Inc., which sold GPB Capital private placement securities, according...

Non-traded Alts Raise a Record $11.5 Billion in February

Sales of non-traded alternative investments reached a staggering $11.5 billion in February, exceeding the previous fundraising record set in January 2022 of $10.5 billion,...

Non-Traded Alts on Pace to Raise $120 Billion in 2022 Following...

Non-traded alternative investments raised a record $10.5 billion in January 2022, a 175 percent increase from the $3.7 billion raised last January, according to...

NAV REITs Post Cumulative 64% Total Return Over Past 5 Years

Non-traded net asset value real estate investment trusts posted a 6.79 percent return for the fourth quarter of 2021, as measured by the Stanger...
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