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SEC’s Gensler continues push to crack down on crypto rule-breakers
In a speech, the SEC chair repeated his demand that crypto exchanges, brokers and attorneys in the digital coin industry comply with securities rules.
Oppenheimer loses Finra arbitration of $36.7 million stemming from alleged Ponzi
The investors cited a violation of Georgia's RICO law to boost their award against Oppenheimer.
Finra arbitrators award $468,126 to customers who invested in UBS YES product
But a different case centering on the complex option strategy was dismissed last month by a separate panel of arbitrators.
Where will crypto head this fall?
Investors are debating whether to hold or not to hold cryptocurrency in their IRAs or 401(k)s ahead of Wall Street's traditionally volatile fall season.
Hedge fund guru Julian Robertson dies at 90
The billionaire founder of Tiger Management became one of his generation's most successful hedge fund managers and a mentor to a wave of investors known as Tiger Cubs.
iCapital acquires UBS legacy alternative investment feeder fund platform
The fintech has purchased UBS Fund Advisor, the wirehouse’s legacy proprietary U.S. alternative investment manager and feeder fund platform that represents $7 billion in client assets.
David Lerner’s latest proprietary fund snag
The brokerage firm's in-house energy fund, Energy 11 L.P., reports $45 million in 'unpaid distributions' to investors.
Massachusetts securities chief goes after single-stock ETFs
William Galvin announced a 'sweep' of firms offering the new ETFs, which he compared to gambling at a casino.
Hedge fund snaps up LPL Financial shares
Private equity investors have flooded the wealth management industry; now, it's a hedge fund's turn.
Single-stock ETF craze leads to single Treasury bond exposure
The new US Benchmark Series from F/m Investments offers traders exposure to three different government bonds.
Alts are rockin’ the house!
Demand for income, inflation protection, enhanced returns and volatility dampening has created a ‘Goldilocks moment’ for alternative investments.
Finra slaps J.P. Morgan over ex-rep who loaded grandma up on structured products
The firm was fined $200,000 for failing to supervise the rep, whose grandmother was 88 and widowed when she opened her account in 2014.
NASAA extends comment deadline on REIT reform proposal
State regulators grant more time for input after getting pushback from groups representing the alternatives sector.
Schwab crypto ETF begins trading
The fund, which began trading on the NYSE Arca exchange, tracks the firm's Crypto Thematic Index.
BlackRock partners with Coinbase to expand into crypto
Institutional investors will be able to use BlackRock's Aladdin investment management system to oversee their exposure to bitcoin along with assets such as stocks and bonds.
Senate bill would give CFTC more sway over crypto trading
The new proposal would give the derivatives regulator direct oversight of tokens that qualify as 'digital commodities.'
iCapital expands menu of alternative investments with Simon acquisition
The addition of Simon brings the total number of asset managers and product manufacturers on the iCapital platform to nearly 300, according to the company.
Sensing a market bottom, wealthy investors are moving back into stocks
A July survey of Tiger 21 members shows a renewed appetite for stocks that's being compared to the buying that occurred at the market bottom in 2009.
Crypto scams must be reined in, Senate Banking Committee says
At a hearing Thursday on scams and risks in the crypto and securities markets, senators on both sides of the aisle pitched legislation to protect investors from harm.
Hightower names Robert Picard to head alternatives
Former First Republic executive built alternatives platforms at Carlyle Group, RBC.
