Results for "alternative investments"

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IRS sends second round of warnings to crypto investors

August 16, 2019

Some cryptocurrency investors are receiving a new round of letters from the Internal Revenue Service telling them that their federal tax returns don't match the information received from virtual currency exchanges, a new front in the agency's...

Bitcoin clobbered in market sell-off

August 15, 2019

Bitcoin is quickly losing the refuge designation that some advocates bestowed on it in recent weeks as the largest cryptocurrency joins the global slide in riskier assets. Smaller rivals tumbled even further. After rallying while U.S. equities...

Ladenburg Thalmann invests in impact investing startup

August 13, 2019

Ladenburg Thalmann's latest technology investment is going to Newday Financial Technologies, a startup focused on providing millennials with low-cost impact investing strategies. Newday is an asset management firm that develops investment funds...

GPB adds class action lawsuit to list of woes

August 6, 2019

GPB Capital Holdings, the private placement manager already mired in investigations and lawsuits, is now facing a potential class action lawsuit from disgruntled investors seeking financial information about its funds. Filed by two investors...

3 tips for the doomsday investor

August 2, 2019

Opinions on climate change vary drastically from person to person. Discussing the appropriate course of action can also often be obfuscated by tangentially impacted circumstances, like the massive lifestyle changes that first-world citizens...

Low-cost gold ETFs introduce new fiduciary challenge

July 23, 2019

As threats of a global trade war and bond yields' move into negative territory spark renewed interest in gold as a portfolio ballast, financial advisers are faced with new choices among a growing list of gold-related exchange-traded funds that...

Senate Republicans seek allowances for RIAs to manage pooled crowdfunding money

July 19, 2019

Senate Republicans are asking the Securities and Exchange Commission to expand the ability of small businesses to raise capital from ordinary investors by involving investment advisers. In a letter to SEC chairman Jay Clayton on Thursday, Republican...

Surging demand turns solar panels into the hottest summer investment

July 10, 2019

Investments in solar energy have been shining brightly this year, and it's not just the summer heat wave that's pushing these stocks and funds to double- and triple-digit gains. The 56.6% surge from the start of the year in the $390 million...

Embracing the highs and lows of cannabis investing

July 9, 2019

When it comes to investing risks and opportunities, there is currently nothing quite like cannabis. While its recreational use is still illegal at the federal level, the momentum behind a push to regulate marijuana alongside alcohol is unmistakable....

SEC commissioner Jackson seeks data on potential harm of easing rules for private placements

July 1, 2019

SEC commissioner Robert Jackson Jr. voted in favor of publishing for comment a 211-page document on easing rules surrounding investments in unregistered securities. But he has qualms about allowing ordinary investors to participate in private...

SEC bars head of terminated RIA, orders $1.3 million in payments

July 1, 2019

The Securities and Exchange Commission has censured Foxboro, Mass.-based Fieldstone Financial Management Group and charged the firm and its principal, Kristofor R. Behn, with defrauding clients by failing to disclose conflicts of interest. The...

Funds confront liquidity worries

June 27, 2019

The first blow-up shook an investment fund in Switzerland. The second and third rocked funds in the U.K. Now, with warnings growing louder about the risks money managers have taken with hard-to-trade investments, Wall Street is starting to wonder:...

Broker-dealer pays $9.5 million to settle alternative investment claims by Native American tribe

June 26, 2019

Purshe Kaplan Sterling Investments will have to pay $9.5 million related to the sale of alternative investments to a Native American tribe in Michigan, according to a recent filing with the Securities and Exchange Commission. The independent...

American Century taps DFA vets for new factor-based business

June 26, 2019

If there was any doubt about American Century Investments' commitment to its expansion into the exchange-traded funds space, the $168 billion asset manager has put those doubts to rest with the launch of Avantis Investors. The new Los Angeles...

Retail derivatives that pay out in bitcoins approved by CFTC

June 25, 2019

Small U.S. retail investors will soon be able to buy derivatives that pay out with bitcoins. LedgerX, a U.S.-regulated bitcoin derivatives exchange and clearinghouse, won approval from the Commodity Futures Trading Commission to serve as a designated...

GPB paid B-Ds and reps steep commissions to sell troubled private placements

June 24, 2019

Broker-dealers and their reps who sold private placements for GPB Capital were paid tens of millions of dollars in commissions, but now must face clients whose investments have dropped in value dramatically. According to a GPB document sent...

Should financial advisers be paying more attention to private equity?

June 24, 2019

Excitement for greater access to private-equity investments was sparked by a Wall Street Journal story Monday that The Vanguard Group may be pondering a move into the space. While the $5.2 trillion Malvern, Pa.-based asset manager told InvestmentNews...

GPB Capital reports decline in value of two biggest funds

June 21, 2019

In a blow to investors, GPB Capital on Friday reported significant losses in the value of its investment funds, which are in the form of private partnerships that invest primarily in auto dealerships and waste management businesses. The two...

DoubleLine CEO Gundlach sees golden opportunity to hedge market risk

June 19, 2019

As fears of an economic slowdown and a recession continue to climb, including new signs that the Federal Reserve​ is​ on track to cut interest rates later this year, financial advisers are revisiting the pros and cons of turning to gold...

SEC exploring how to give more investors access to private placements

June 18, 2019

The Securities and Exchange Commission is looking for ways to allow more investors to buy unregistered securities and enable emerging companies more easily to raise capital. The agency issued a concept release Tuesday that examines ways to "simplify,...

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