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SEC Obtains $1.1 Million Judgment Against Former Broker

An Ohio federal court entered a consent judgment against John Gregory Schmidt, a former registered representative of Wells Fargo Advisors Financial Network and Stifel,...

LPL Financial Adds $360 Million Team from Wells Fargo Advisors

LPL Financial, the nation’s largest independent broker-dealer, has added Harbor Financial Group to its broker-dealer and corporate registered investment advisor platforms. The firm joined...

InvenTrust Closes $750 Million Unsecured Credit Facility

InvenTrust Properties Corporation, a publicly registered non-traded real estate investment trust, has closed on a $750 million amended and restated unsecured credit facility, increasing...

Former Wells Fargo Rep Receives 128-Count Indictment for Investment Fraud

John Gregory Schmidt, a former Wells Fargo Advisors Financial Network registered representative, has been indicted on 128 counts for conducting a million-dollar Ponzi scheme...

Wells Fargo Reaches $575 Million Agreement with States over Sales Misconduct

Wells Fargo & Co. (NYSE: WFC) has agreed to pay $575 million to settle widespread claims over the bank’s improper sales practices. The firm...

JLL Income Property Trust Expands and Extends Credit Facility

JLL Income Property Trust, an institutionally managed daily NAV REIT (NASDAQ: ZIPTAX; ZIPTMX; ZIPIAX; ZIPIMX), has closed on the expansion and extension of a...

LPL Recruits Former Wells Fargo Advisors Financial Advisor

LPL Financial LLC, the nation’s largest independent broker-dealer, has recruited former Wells Fargo Advisors financial advisor Steven Jolly, who serves approximately $190 million of...

Triad Advisors Adds $850 Million Team from Wells Fargo

Triad Advisors LLC, an independent advisory and brokerage firm and subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), has added Stonebridge Financial Group...

SEC Charges Ex-Wells Fargo Advisor for Stealing $1 Million From Elderly...

The Securities and Exchange Commission has charged a former Wells Fargo Advisors Financial Network registered representative with defrauding his retail brokerage customers out of...

Business Development Corporation of America Buys Stake in $800 Million Triangle...

Business Development Corporation of America, a non-traded business development company previously affiliated with AR Global and currently managed by an affiliate of Benefit Street...