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Small B-D’s clients overly concentrated in illiquid alts: Finra
In complaint, regulator says that almost 95% of VFG Securities' revenues were generated from nontraded REITs and other direct participation programs. B-D owner claims he is the victim of “character assassination."
Will Blackstone build or buy a nontraded REIT business?
The firm could create its own REIT sponsor and wholesaler or take a run at an established one like NorthStar Asset Management Group Inc.
Blackstone considering getting into nontraded REIT market
Source says firm eyes creating, managing nontraded REITs for brokers and advisers to sell.
Cantor Fitzgerald to hire nearly 30 RCS wholesalers
RCS was recently closed after paying Massachusetts $3 million to settle charges that it fraudulently rounded up proxy votes for real estate deals.
Hedge funder sues his lawyer from jail over a ‘rushed’ home sale
Plus: UBS swims against the current toward hedge funds, the dismal history of earnings forecasts, and how not to say goodbye in an email
Steven Cohen gets back to managing money
Breakfast with Benjamin The dust around SAC Capital has settled enough so that Steven Cohen has a new entry point into the asset management business.
Nontraded REIT company Cole Capital on the mend
Sales at the once-tarnished company are up fourfold this year while sales in the overall industry are down.
DOJ’s suit against activist investor could affect entire mutual fund industry
Plus: Going after tax inversions goes after the middle class, the sun is setting on solar energy funds, and the baseball bat gets an upgrade
A DOL fiduciary rule everyone can live with
Final version includes a number of changes that address the most serious concerns of those who most vehemently criticized it.
ValueLine joins other asset managers by embracing liquid alternatives
Fund wants to diversify product line and strike while the iron is hot with proposed acquisition of the Alpha Defensive Alternatives Fund
Low energy prices taking a toll on MLPs
The tax advantages might not be worth it.
New Finra pricing rules for illiquid investments shaking up IBD industry
Firms need to be proactive in conveying information to their advisers.
Bringing REIT commissions to light
It's one thing to charge an investor a high commission, but it's another to hide it and not be transparent about your charges.
SunEdison’s hard lesson for renewable-energy investors
Breakfast with Benjamin SunEdison's collapse shows that advisers should understand the steep side of the mountain renewable energy is trying to climb.
Finra: Broker charged $11M in commissions for nontraded REITs and BDCs and lied about it
Regulator said he failed to tell Native American tribe about fees.
The time for emerging markets is now — if you can stand it
Stocks are cheap, but clients should know what they are getting into.
Seeing renewable energy through rose-colored glasses
Plus: Goldman takes a swipe at gold, fixing corporate inversions, and what baseball season does for food
Liquid alt funds are beating hedge funds
Breakfast with Benjamin Liquid alts beating the hedge funds they're designed to mimic begs the question of why we even need hedge funds anymore?
Low expenses the biggest trend in the fund industry, experts say
Smart beta may be the most popular new strategy for mutual fund companies, but the real trend is towards funds with lower expenses.
SEC derivatives rule could limit investors’ ability to diversify portfolios, critics say
The comment period for the rule, which was introduced in December, closed on Monday.
