Alternatives

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Time to learn about crypto
INVESTING ALTERNATIVES APR 19, 2021
Time to learn about crypto

Bitcoin hit a record of more than $64,000 as Coinbase Global Inc., the largest U.S. cryptocurrency exchange, went public last week. Advisers and Wall Street have reached an inflection point when it comes to cryptocurrencies.

PE fund targets diversity, governance at small companies
INVESTING ALTERNATIVES APR 14, 2021
PE fund targets diversity, governance at small companies

Mill Road Capital is applying a 'progressive private equity' strategy in its latest fund.

Bitcoin ETF line gets longer; eight issuers file with SEC
INVESTING ALTERNATIVES APR 14, 2021
Bitcoin ETF line gets longer; eight issuers file with SEC

ETF issuers are betting en masse that U.S. regulators will green-light a fund tracking the largest cryptocurrency.

Cryptocurrency nears adviser tipping point as players pile in
INVESTING ALTERNATIVES APR 12, 2021
Cryptocurrency nears adviser tipping point as players pile in

Regulatory uncertainty and lack of access to familiar investment vehicles currently keep most advisers on the sidelines, but a study finds 44% expect to be working with cryptocurrencies within five years.

Archegos implosion could lead to family-office regulation
INVESTING ALTERNATIVES APR 08, 2021
Archegos implosion could lead to family-office regulation

Assessing the murky family-office world presents challenges, such as sorting out the different types. The SEC had targeted family office oversight for review this year even before the Archegos blowup.

UBS loses $371,000 claim linked to options strategy
INVESTING ALTERNATIVES APR 08, 2021
UBS loses $371,000 claim linked to options strategy

UBS has been hit with a rash of arbitration claims over strategies investors say damaged them, and most recently it saw a wave of investor complaints over Puerto Rico bonds and bond funds.

Why the 'one bad broker' rule matters
INVESTING ALTERNATIVES APR 07, 2021
Why the 'one bad broker' rule matters

One bad broker making big bets or selling lousy or misunderstood products can damage or even ruin a firm. Are firms doing enough to keep those brokers and high-risk behaviors in check?

Ex-GPB executive gets 9-month sentence
INVESTING ALTERNATIVES APR 07, 2021
Ex-GPB executive gets 9-month sentence

Former chief compliance officer Michael Cohn was also fined $50,000. A former Securities and Exchange Commission examiner, he was charged in October 2019 with obstruction of justice relating to an SEC investigation of GPB.

Purshe Kaplan racks up $1.6 million settlement
INVESTING ALTERNATIVES APR 05, 2021
Purshe Kaplan racks up $1.6 million settlement

Since 2017, the firm has been on the hook for $16 million in legal settlements and restitution to clients, with the lion's share stemming from one broker's sale of alternative investments to a Native American tribe in Michigan.

Goldman Sachs is getting into Bitcoin — who’s next?
INVESTING ALTERNATIVES APR 01, 2021
Goldman Sachs is getting into Bitcoin — who’s next?

Goldman Sachs enters the race to offer wealth management clients access to Bitcoin following Morgan Stanley. Which wirehouse could be next?

Goldman close to offering Bitcoin to wealth management clients
INVESTING ALTERNATIVES MAR 31, 2021
Goldman close to offering Bitcoin to wealth management clients

The firm plans to begin rolling out digital assets to clients in the second quarter.

Wall Street banks summoned by regulators over Hwang’s blowup
INVESTING ALTERNATIVES MAR 30, 2021
Wall Street banks summoned by regulators over Hwang’s blowup

The Securities and Exchange Commission summoned the banks for hasty meetings on what triggered the forced sale of more than $20 billion of stocks linked to Hwang’s Archegos Capital Management.

Digital currencies jump as Visa pilots crypto settlement
INVESTING ALTERNATIVES MAR 29, 2021
Digital currencies jump as Visa pilots crypto settlement

Traditional financial companies are beginning to embrace cryptocurrencies and blockchain projects more than a decade after the creation of Bitcoin in 2009. That comes even as some remain skeptical of mainstream adoption.

Fidelity applies for Bitcoin ETF
INVESTING ALTERNATIVES MAR 25, 2021
Fidelity applies for Bitcoin ETF

The company's proposed exchange-traded fund would track the cryptocurrency using pricing from U.S.-based exchanges including Bitstamp, Coinbase and Gemini.

Financial advisers are steering clients away from SPACs
INVESTING RIAS MAR 24, 2021
Financial advisers are steering clients away from SPACs

Special purpose acquisition companies are leveraging celebrity endorsements to drive investor demand, while financial advisers struggle to protect clients from risk.

IBD boosts reserves more than $500,000 for inverse-ETF legal costs
INVESTING ALTERNATIVES MAR 24, 2021
IBD boosts reserves more than $500,000 for inverse-ETF legal costs

Calton & Associates, with 400 reps and advisers, is looking at paying restitution of close to half a million to clients who bought leveraged exchange-traded funds.

Chevron greenwashing complaint filed with FTC
INVESTING ALTERNATIVES MAR 17, 2021
Chevron greenwashing complaint filed with FTC

Complaint is first time environmental groups have brought such claims to the Federal Trade Commission against an oil giant.

SPACs are the investment darling of the pandemic
INVESTING RETIREMENT PLANNING MAR 15, 2021
SPACs are the investment darling of the pandemic

Special purpose acquisition companies, or SPACs, have been all the rage for the past 12 months, but will the fever outlast the pandemic?

Booming SPAC market draws SEC scrutiny
INVESTING ALTERNATIVES MAR 11, 2021
Booming SPAC market draws SEC scrutiny

The vehicles are touted for democratizing markets by allowing retail investors access to high-growth companies. But the SEC said they come with distinct risks.

Advisor Group firms boost legal reserves
INVESTING ALTERNATIVES MAR 10, 2021
Advisor Group firms boost legal reserves

Royal Alliance Associates Inc., SagePoint Financial Inc., and FSC Securities Corp., increased legal reserves by as much as three times the amount of the prior year.