Alternative investments

Alternative investments such as leveraged or inverse ETFs, complex exchange-traded products and options remain areas of concern to the regulator.

Despite earlier alerts and a wave of cases related to the LJM Preservation & Growth Fund, the regulator sees “continuing” deficiencies.

You can buy a share of Lamborghini now. Should you do it?

Once facing scrutiny for its relationship with a previous majority shareholder, the firm settled the regulator’s allegations about an issuer it called “Company A.”

The raise is a continuation of the $225 million round in January led by Apollo Global Management, Motive Partners and Franklin Templeton.

For advisors, cryptocurrency is increasingly too impactful to ignore as their clients — and not only millennials — are interested in the offerings.

Worden Capital’s barred CEO allegedly had an “oral agreement” with a private placement issuer that he didn’t disclose to the firm’s brokers or its clients.

The bank now expects $350 billion in organic traditional long-term net inflows from 2020 through 2024, up from a $250 billion target given to shareholders two years ago.

The trend shows no sign of slowing down in 2022, but not everyone is convinced the products are good for clients.

Technology gives investors more opportunity to diversify than ever, but experts worry about exotic strategies in IRAs.