The Securities and Exchange Commission today announced that American Infrastructure Funds LLC (AIM), a Foster City, California-based registered investment adviser to private funds, agreed to pay more than $1.6 million to settle charges resulting from its acceleration of portfolio company monitoring ...

The Financial Industry Regulatory Authority barred an ex-broker who was affiliated with Momentum Independent Network after he participated in 19 private securities transactions involving promissory notes totaling $2 million between about February 2018 and August 2022 without first getting his firm�...

1031 Crowdfunding (1031 CF), a real estate investing platform, today announces expanding its holdings into Florida for the first time, adding to its existing portfolio throughout the United States. The company acquired two memory care and assisted living facilities for its 10th Delaware Statutory Tr...

The Financial Industry Regulatory Authority continues to bring enforcement actions over violations of the three-year-old Regulation Best Interest rule and this week fined and suspended a former broker who put 81% of her customer’s net worth into a single non-traded real estate investment trust. El...

It is no secret that the Federal securities laws and the SEC’s rules implementing them can be, at times, a little technical. We oversee a complex industry and this sometimes requires us to prescribe specific formulas or multifactor tests in service of our mission. But at their core, many of our re...

Belpointe PREP, LLC (NYSE American: OZ) (“Belpointe OZ” or the “Company”), the first publicly traded Qualified Opportunity Fund (“QOF”), is pleased to announce the topping-off of the two luxury 10-story buildings, named Aster & Links, located at 1991 Main Street, Sarasota, FL. This m...

A financial advisor who oversaw $175 million in client assets at Wells Fargo Advisors has affiliated with LPL Financial via is employee advisor channel, Linsco by LPL Financial, the firm announced Tuesday. Aaron Cizon will operate as Cizon Group Wealth Management of LPL Financial out of a new Linsco...

Capital Square, one of the nation’s leading sponsors of tax-advantaged real estate investments and a developer and manager of multifamily communities, announced today that the firm has surpassed $3 billion in fundraising for its investment programs since formation in 2012. Capital Square has c...

Jeffrey K. Kirkpatrick was sanctioned for his activity at an RIA his business partner allegedly used to steal money from clients to buy an estate. The chief compliance officer at an RIA formerly affiliated with LPL Financial was suspended this week by the Financial Industry Regulatory Authority (Fin...

LPL Financial (NASDAQ:LPLA) has gained a father-and-son team managing approximately $1.2 billion in client assets from Morgan Stanley, as announced on Monday. The Los Angeles-based Francis Group, led by Burke and Christopher Francis, has joined LPL’s Strategic Wealth Services division, which a...