But the allegations cited in Dickson's BrokerCheck report are not specific; Dickson had led the firm since 2018.
Ameriprise jumped into the bank broker market in 2017 when it acquired Investment Professionals Inc.
But investors looked to redeem fewer BREIT shares in February than in January, potentially a positive sign for the company.
The advisor, Ryan R. Riley, also pleaded guilty in a criminal manner and was ordered to pay restitution of at least $434,000.
LPL's disclosure follows a crackdown by US regulators on financial firms' failure to monitor employee communications on messaging apps.
According to investment bank Robert A. Stanger & Co. Inc., January nontraded REIT sales to retail investors totaled just $596 million.
For the last six years, Lindsay Hans has headed Merrill's Northeast and Mid Atlantic Divisions. She succeeds Don Plaus, who's retiring.
The firm, which has been a dealmaking machine since it launched in 2004, will go private as a result of its acquisition by private equity manager Clayton Dubilier & Rice.
After leaving Thomas H. Lee Partners in 2006, he started another firm, Lee Equity Partners, that made a handful of significant transactions in wealth management shops.
Julian Lopez will focus on LPL's relationships with independent advisors.
