Securities

The Salt Lake City broker-dealer, under scrutiny by regulators over its exorbitant fees and seizure of client money, lost a court battle seeking to force regulator FINRA to deal with it in person.

The alternative asset manager said it has $77 billion in cash, securities and other available capital, including uncalled capital commitments from clients.

The new funds mark the startup’s latest foray into traditional wealth management.

Clients can avoid tax liability on their capital gains by donating securities that have appreciated in value, an expert says.

One uses a factor lens for a twist on the AGG and the other focuses exclusively on investment-grade credit.

Robert Graham allegedly solicited clients into risky investments, which he directed to his private company. He is the ex-chief of the Arizona Republican Party.

Variables tend to outperform the market and can offer risk protection.

The traditional approach of buying credit to balance equity risk may no longer be of any use.

The wirehouse's traders and salespersons misled and overcharged clients with regard to the securities, the regulator charges.

Robert Dekas claimed the firm breached its fiduciary duty by executing trades in unsuitable investments, says the regulator.