Tag: retail investor
Former SEI Investments Exec Named President of Ulitmus LeverPoint Private Fund...
Ultimus Fund Solutions, an independent provider of full-service administration, fund accounting, middle office, and investor solutions to traditional and alternative investment managers, has named...
Ultimus Hires SVP of Retail Alternative Fund Services Amid Demand for...
Ultimus Fund Solutions, an independent provider of fund administration, accounting, and investor services, has hired Sean McLean as senior vice president of retail alternative...
SEC Charges Former Georgia State Legislator with Defrauding Investors in Alleged...
The Securities and Exchange Commission has charged Clarence Dean Alford, a former Georgia state legislator and former member of the Georgia Board of Regents,...
SEC Fines HSBC Securities $725,000 over Adviser Compensation Misstatements
HSBC Securities Inc., a registered investment adviser and broker-dealer, has agreed to pay the Securities and Exchange Commission $725,000 for allegedly making false and...
Guest Contributor: Where Alts Sponsors Playing in the Retail Space Can...
By Mike Huisman, Head of Alternative Product Solutions at Envision Financial Systems
The opportunity for alternative investment sponsors couldn’t be clearer. With most institutions (and...
SEC Bars Investment Adviser Charged with Defrauding Retail Investment Advisory Clients
The Securities and Exchange Commission has charged Fieldstone Financial Management Group LLC and its principal Kristofor Behn, with defrauding retail investment advisory clients by...
