The firms, ranging from broker/dealers and dual registrants to affiliated investment advisors, include Interactive Brokers, […]
SEC Charges SW Financial Reps With Violating Reg BI
The accusations against five of the firm’s reps arrives several months after FINRA barred the […]
Digitizing the Client Experience
Harness “digital” to improve the 6-steps of the client experience.
10 Must Reads for Real Estate Investors to End the Week (Sept. 29, 2023)
Preferred equity providers are increasingly looking to close financing gaps in the multifamily sector, according […]
Former Western International Rep Loses FINRA Appeal Over Non-Traded REIT Recommendations
Former broker Megurditch Patatian allegedly recommended 81 purchases totaling more than $7.8 million of the […]
12 Must Reads for Real Estate Investors (Sept. 27, 2023)
The total value of global real estate—residential, commercial and agricultural—reached $379.7 trillion in 2022, according […]