Results for "alternative investments"

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As Ladenburg Thalmann explores sale, one of its B-Ds is hit with GPB investor complaints

November 8, 2019

Ladenburg Thalmann Financial Services Inc. has been hit with fallout from GPB Capital Holdings. Ladenburg reported Friday morning that since July, one of its broker-dealers has been named in six customer arbitration complaints seeking $1.65...

Lawsuit claims GPB a Ponzi, riven with conflicts and self-dealing

November 6, 2019

Self-dealing, conflicts of interest and operating a Ponzi scheme were at the heart of GPB Capital Holdings and its ability to raise $1.8 billion from investors over the last six years, according to a class action lawsuit filed Wednesday in federal...

Liquid alternative ETFs are set to double their assets, report says

November 4, 2019

A relatively new category of exchange-traded fund is poised to hit it big, according to Greenwich Associates. Institutional investment in so-called liquid alternative ETFs — including products that seek to mirror hedge funds — will more...

Wife of barred broker helped him produce $6 million in commissions: Finra

November 4, 2019

The Financial Industry Regulatory Authority Inc. has suspended the wife of a broker who was barred from the securities industry 20 years ago, alleging that the wife, along with a second broker who worked as a supervisor, "enabled" the barred...

Colorado charges broker-dealer with failing to supervise reps working in South Carolina

October 30, 2019

Centaurus Financial Inc., an independent broker-dealer, faces losing its license in Colorado because of allegations it failed to supervise adequately the sales of structured certificates of deposit by two of its brokers. The brokers at the center...

Schwab platform gives advisers easier access to alternative investments

October 24, 2019

Schwab Advisor Services has a new platform to provide independent registered investment advisers easier access to alternative investments. The Alternative Investment Marketplace features third-party sponsors offering a menu of private equity,...

Legislation re-introduced in House to expand pool of accredited investors

October 21, 2019

Legislation that would allow more investors to purchase unregistered securities faces some of the same legislative obstacles that stymied last year's measure. Reps. French Hill, R-Ark., and David Schweikert, R-Ariz., introduced the Fair Investment...

ARCP class action investors get 50 cents on the dollar: Attorneys

October 7, 2019

The $1 billion settlement last month between investors and the real estate investment trust formerly known as American Realty Capital Properties Inc. included an unusually large recovery for the claimants of close to fifty cents on the dollar,...

Finra censures Newbridge Securities and fines firm $225,000

September 27, 2019

The Financial Industry Regulatory Authority Inc. has censured Newbridge Securities and fined the Boca Raton, Fla.-based firm $225,000 for having failed to adequately supervise the sale of complex securities such as structured notes and leveraged,...

Voya Financial Advisors settles with more than a dozen clients of former broker

September 27, 2019

Voya Financial Advisors Inc. is cleaning up the mess a former broker created by investing clients heavily in nontraded real estate investment trusts and variable annuities. The ex-broker, James T. Flynn, was registered with Voya Financial Advisors...

Taxes are one thing – not the 'only' thing

September 27, 2019

Tax Day has come and gone. As advisers to high-net-worth individuals and families, tax planning is a year-round priority. HNW clients have wide-ranging objectives that include everything from transferring large amounts of money to younger generations,...

Fidelity brings ESG portfolios to advisers

September 25, 2019

Fidelity Investments is turning to Ethic, a digital asset manager providing sustainable investing portfolios, to help financial advisers offer environmental, social and governance investing to clients. Ethic will plug into Fidelity's brokerage...

Experts warn SEC about perils of loosening private offering rules

September 25, 2019

Some experts are warning the Securities and Exchange Commission that loosening the rules on purchases of private investments could hurt the elderly and retirement savers, while alternatives industry organizations are touting their portfolio...

Wealthiest families are stockpiling cash

September 24, 2019

Rick Stone, a former partner at Cadwalader Wickersham & Taft, sees treacherous times ahead for family offices trying to deploy cash. The head of Stone Family Office said that he doubts the bond market will provide any real return over the next...

The case against gold

September 23, 2019

With the price of gold up nearly 18% since the start of the year, some market watchers are calling it a "crowded trade." That's just one of the reasons some financial advisers give for steering clear of the precious metal at this point in the...

Rich families pour wealth into ESG investments

September 16, 2019

Super-rich families are increasingly including sustainability and ethics in founding principles of their private investment firms, according to Fabrizio Campelli, Deutsche Bank's global head of wealth management. "Family offices are now putting...

Millennials finally ready to invest sustainably

September 13, 2019

Wealthy millennials are finally thinking about investing in sustainable companies almost as much as they shop for socially conscious products in stores, according to a survey released Thursday. About 95% of millennials — which the survey classified...

Once again, GPB delays release of audited financial statements

September 12, 2019

GPB Capital has recently been telling the 60 or so broker-dealers that sold $1.8 billion of high-risk private placement to wealthy clients that it would deliver audited financial statements for its funds by the end of September. Now, the beleaguered...

How gold could replace bonds as a portfolio diversifier

September 11, 2019

Instead of trying to navigate the freewheeling price of gold over various market cycles, financial advisers might be better served by focusing on the precious metal's lack of correlation with other investments. That's the basic premise of a...

Time is running out on opportunity zones — but there's limited choice

September 5, 2019

Time is running out to get the biggest tax break from opportunity zones, but there's one snag for financial advisers: They don't see a lot of compelling investment options for clients. "The deals haven't worked out to be that great," said Leon...

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