Alternatives

Displaying 3882 results
A crisis of confidence surrounds GPB Capital
INVESTING ALTERNATIVES JUL 30, 2019
A crisis of confidence surrounds GPB Capital

The latest setback is a lawsuit from an auto dealer who sold a majority stake in his company to GPB and accuses the firm of 'a massive securities fraud.'

New twist on private equity in RIA space: Silent minority ownership
INVESTING RIAS JUL 29, 2019
New twist on private equity in RIA space: Silent minority ownership

Upstart Kudu Investment Management acquires piece of a second advisory firm.

Low-cost gold ETFs introduce new fiduciary challenge
INVESTING ALTERNATIVES JUL 23, 2019
Low-cost gold ETFs introduce new fiduciary challenge

The arrival of funds offering cheaper access to gold means advisers must weigh liquidity against cost.

Top 50 equity mutual funds, second quarter 2019
INVESTING ALTERNATIVES JUL 20, 2019
Top 50 equity mutual funds, second quarter 2019

A closer look at the numbers.

Top 50 equity ETFs, second quarter 2019
INVESTING ALTERNATIVES JUL 20, 2019
Top 50 equity ETFs, second quarter 2019

A closer look at the numbers.

Nick Schorsch returns to public view, this time to settle up with the SEC
INVESTING ALTERNATIVES JUL 19, 2019
Nick Schorsch returns to public view, this time to settle up with the SEC

After keeping a low profile for past few years, one-time REIT czar re-emerges to face consequences for past wrongdoing.

Senate Republicans seek allowances for RIAs to manage pooled crowdfunding money
INVESTING ALTERNATIVES JUL 19, 2019
Senate Republicans seek allowances for RIAs to manage pooled crowdfunding money

GOP lawmakers also ask SEC to increase number of investors who qualify to buy private placements.

Elizabeth Warren declares war on private equity 'vampires'
INVESTING ALTERNATIVES JUL 18, 2019
Elizabeth Warren declares war on private equity 'vampires'

The presidential candidate proposes restricting PE firms' ability to pay themselves 'monitoring fees' and dividends, while limiting their ability to use tax breaks for the debt placed on companies they buy

Finra panel awards investors $1.16 million over sales of REITs, other complex products
INVESTING ALTERNATIVES JUL 17, 2019
Finra panel awards investors $1.16 million over sales of REITs, other complex products

Berthel Fisher CEO says firm gives clients 'excellent service and good investment advice'

Schorsch, AR Capital to pay $60 million to settle SEC charges
INVESTING ALTERNATIVES JUL 16, 2019
Schorsch, AR Capital to pay $60 million to settle SEC charges

The former REIT czar and his firm wrongfully obtained millions linked to REIT mergers.

Surging demand turns solar panels into the hottest summer investment
INVESTING RIAS JUL 10, 2019
Surging demand turns solar panels into the hottest summer investment

Tax incentives fuel sales and drive share prices up by double and triple digits.

David Lerner Associates' financial condition deteriorates
INVESTING ALTERNATIVES JUL 10, 2019
David Lerner Associates' financial condition deteriorates

Firm reported 'negative net worth' of $17 million last year in recent SEC filing.

Embracing the highs and lows of cannabis investing
INVESTING RIAS JUL 09, 2019
Embracing the highs and lows of cannabis investing

Momentum is on the side of legalization at the federal level

SEC commissioner Jackson seeks data on potential harm of easing rules for private placements
INVESTING ALTERNATIVES JUL 01, 2019
SEC commissioner Jackson seeks data on potential harm of easing rules for private placements

Proponents, however, say products provide portfolio balance for retirement savers.

SEC bars head of terminated RIA, orders $1.3 million in payments
INVESTING RIAS JUL 01, 2019
SEC bars head of terminated RIA, orders $1.3 million in payments

Kristofor Behn and his firm, Fieldstone Financial Management, charged with fraud.

Funds confront liquidity worries
INVESTING ALTERNATIVES JUN 27, 2019
Funds confront liquidity worries

Some $30 trillion is tied up in difficult-to-trade investments, the Bank of England's Mark Carney noted earlier this year.

American Century taps DFA vets for new factor-based business
INVESTING ALTERNATIVES JUN 26, 2019
American Century taps DFA vets for new factor-based business

Avantis Investors has an independent look, but has plenty of support from American Century

Broker-dealer pays $9.5 million to settle alternative investment claims by Native American tribe
INVESTING RIAS JUN 26, 2019
Broker-dealer pays $9.5 million to settle alternative investment claims by Native American tribe

The tribe claimed it was unaware of the $11 million in commissions paid to a former Purshe Kaplan Sterling broker.

Retail derivatives that pay out in bitcoin approved by CFTC
INVESTING ALTERNATIVES JUN 25, 2019
Retail derivatives that pay out in bitcoin approved by CFTC

LedgerX won approval to offer bitcoin spot and physically settled derivatives contracts to clients of any size.

GPB paid B-Ds and reps steep commissions to sell troubled private placements
INVESTING ALTERNATIVES JUN 24, 2019
GPB paid B-Ds and reps steep commissions to sell troubled private placements

GPB paid commissions of 9.3%, or $167 million altogether, on the firm's private placements.