A former high-ranking executive testified that he repeatedly raised warnings of an accounting error at the real estate investment trust.
Mr. Block last year pleaded not guilty to charges, including conspiracy and securities fraud, stemming from accounting at the REIT once controlled by Nicholas Schorsch.
Commodity funds have lost an average 8.7% a year over the past five years.
Firm will pay $650,000 for suitability, compliance and books and records violations.
Cash, alternatives, international all beckon, but all have pros and cons.
According to a recent court filing, the former nontraded REIT czar was keeping a close eye on adjusted funds from operation as the company was preparing to release second quarter earnings in 2014.
Addition of machine-learning technology is intended to enhance value to advisers and clients.
Move will allow advisers to select single-manager hedge funds for the first time.
See rankings of funds by returns in categories from large-cap growth to real estate and equity income.
Investors in the pass-through entities would benefit from a 15% tax cap.
A third-party review found that 200 clients from the New England state bought nontraded REITs that violated LPL's guidelines and are eligible for an average of $40,000 apiece.
Women, minorities still run a small percentage of firms
Mr. Block faces charges of conspiracy to commit securities fraud, securities fraud and making false filings with the Securities and Exchange Commission.
Many funds with these strategies bested their indexes in the past year.
Company is leveraging the expertise of TIAA-CREF to reduce portfolio volatility.
The growing use of target-date funds may offer private equity firms a way to offer such investments to 401(k) investors.
Still risky, but less expensive and more liquid than partnerships.
