Daniel Lerner, who's executive vice president of investor services at David Lerner Associates, faces potential disciplinary action over sales of energy funds.
In an RIA Lab discussion of what investors should expect from alternative investments, panelists note that fees are high and liquidity is limited.
Last week, Judge Rodolfo Ruiz gave the SEC 10 days to negotiate a settlement with Par Funding founders Joseph LaForte and his wife, Lisa McElhone.
Advisers are adjusting clients' portfolios to weather the recession that could result from the central bank's response to spiking prices.
Investors are bracing for volatility from the jumbo Federal Reserve interest-rate hike expected Wednesday to fight price pressures.
Regulators, analysts and financial advisers worry the easy access to enhanced performance will hurt unsophisticated investors.
While advisers may not expect anywhere near the market growth over the next year that investors enjoyed in 2021, many advisers believe they’ve already seen the bottom this year.
A roundup of the week's fintech news includes Cetera's adoption of Broadridge's new digital communications tool, Orion's reorganization and Morningstar's attempt to make sustainable investing more engaging.
The actions outlined in Finra settlement with Sanctuary predate Sanctuary’s acquisition of David A. Noyes, a company spokesperson notes.
The FolioBeyond Rising Rates ETF, which launched in October, is gaining appeal for advisers as it nears the $100 million mark.
In a speech, the SEC chair repeated his demand that crypto exchanges, brokers and attorneys in the digital coin industry comply with securities rules.
The investors cited a violation of Georgia's RICO law to boost their award against Oppenheimer.
But a different case centering on the complex option strategy was dismissed last month by a separate panel of arbitrators.
Investors are debating whether to hold or not to hold cryptocurrency in their IRAs or 401(k)s ahead of Wall Street's traditionally volatile fall season.
The billionaire founder of Tiger Management became one of his generation's most successful hedge fund managers and a mentor to a wave of investors known as Tiger Cubs.
The fintech has purchased UBS Fund Advisor, the wirehouse’s legacy proprietary U.S. alternative investment manager and feeder fund platform that represents $7 billion in client assets.
The brokerage firm's in-house energy fund, Energy 11 L.P., reports $45 million in 'unpaid distributions' to investors.
William Galvin announced a 'sweep' of firms offering the new ETFs, which he compared to gambling at a casino.
Private equity investors have flooded the wealth management industry; now, it's a hedge fund's turn.
The new US Benchmark Series from F/m Investments offers traders exposure to three different government bonds.
