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Galvin investigating 63 broker-dealers selling private placements from GPB Capital
The firm sells illiquid, high-risk and high-commission alternative investments.
Galvin orders SII to pay restitution on nontraded REIT sales
LPL bought SII last year as part of its National Planning Holdings purchase.
Crypto craze puts retirement savings at risk
Regulators and Congress should protect investors by slamming the door shut on efforts to bring cryptocurrency into the world of retirement savings.
Equity index put writing: A strategy for uncertain markets
This approach can help clients stay invested while limiting their exposure to volatility or downdrafts.
Top private placement manager GPB to restate financial statements of certain funds
Private placements have far fewer regulatory standards to adhere to than publicly listed companies.
Finra arbitrators order Pennsylvania brokerage to pay client $1 million in damages
James E. Grimes accused Trustmont Financial of breaching fiduciary duty in a case related to two annuity exchanges and a private REIT.
HighTower on prowl for new CEO, Weissbluth to become chairman
Move is latest in Chicago-based RIA consolidator's effort to expand senior leadership team.
Equity ETFs ranked by second quarter performance
InvestmentNews Research sorts exchange-traded funds by returns, flows and trading volume.
Bigger isn’t always better when it comes to alternative investments
Why some institutional product sponsors have trouble navigating the retail alts market.
REIT management gives no answers about disastrous share price
Listing of American Finance Trust Inc., the $1.6 billion REIT advised and managed by Nicholas Schorsch's AR Global, has erased almost $1 billion in equity value.
Sell-off in cryptocurrencies reaches new low
Bitcoin slides more than 5% on news the SEC put off deciding whether to approve a bitcoin ETF.
Private banks are the new hedge funds
UBS wealth management arm offers structured notes that employ relative-value strategies, typically the domain of hedge funds.
Investors rekindle love affair with hedge funds
To get back into investors' good graces, funds have had to alter traits like their liquidity, fees — even their overall structure.
Bitcoin trade gone bad leaves counterparties holding the bag
Trading debacle could dent confidence in one of largest cryptocurrency venues.
Private equity chasing healthy returns at RIAs and broker-dealers
Looking to double their money in five years, P-E investors are attracted to the wealth management industry.
Schorsch REIT listing a billion-dollar disaster for investors
The share price of American Finance Trust Inc. has plunged since trading began on July 19, and advisers deserve answers.
Investing in fine wine is producing ever-greater returns
French wines dominate portfolios; California wines constitute only a small fraction of what's traded.
Focus Financial IPO falls short of expectations
Despite the below-target offering price, the stock closed its first day of trading at $37.55 — a 13.8% gain.
Wealth Enhancement Group adds $350 million planning firm in Florida
Hybrid owned by Lightyear is acquiring Retirement Strategies Group of Jacksonville
Focus Financial raises goal for IPO to $600 million
Company's revised goal from $100 million could be a sign RIA valuations are rising.
