Alternative investments

In two FINRA enforcement cases and an arbitration award, wealth management firms are resolving allegations that they breached their duties.

Leaving the nest has always been difficult for both parents and young adults, but some key lessons can help make the transition easier.

If the fair's first edition here does well, it's a sign that Paris is back. If not, tant pis. So far ultrawealthy buyers are flocking to the event.

A Centaurus financial advisor racked up hundreds of thousands of dollars in extra commissions through sales of pricey products, the regulator says.

Although putting money into alternative assets is already legal, some hesitate to do it because of perceived legal pitfalls.

Experts say the next big marijuana boom is right around the corner, and it could generate big returns for investors.

After a longstanding relationship, the New York alternative investments firm buys a chunk of the Swiss bank.

Alpine Securities has added to its long docket of run-ins with regulators over the last several years, alleging the SEC is piling on.

Studies show that the market has created a "Goldilocks" moment for alternatives. But technology and the industry need to work together to get it "just right."

"It's probably the only asset class where maybe the client knows more than the advisor right now," Maxwell Lane, head of product for Flourish, said at Financial Planning's Invest conference.

Some of the wirehouse's advisors marketed and sold a complex options trading vehicle without adequately understanding its risks, according to the regulator.

As wealth managers brace for new enforcement cases under Reg BI, a case stemming from conduct four years ago may offer some clues about what’s to come.

The action against Atria Wealth Solutions’ Western International Securities offers a substantive hint on the future potential matters under the rule.

Disappointed by the impact of ESGs, younger generations may turn to alternative investments.

Financial advisors can achieve up to 10.25% annual return, betting on recent college graduates who don’t want to damage their credit.

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.