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Complex and Alternative Investments

  1. What Is an Alternative Investment?
  2. What Are Some Examples of Alternative Investments?
  3. What Must My Broker Do if He/She Recommends an Alternative Investment?
  4. What Should I Do if I Have Experienced Losses in Alternative Investments Recommended by My Broker?

What Is an Alternative Investment?

Alternative investments, which come in many shapes and sizes, generally involve unique features compared to traditional investment products, like stocks and bonds. Alternative investments might be able to achieve higher returns for investors, however, they generally involve significantly more risk than traditional securities products.

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What Are Some Examples of Alternative Investments?

Private placements are one type of alternative investment. Private placements are unregistered securities often issued by private companies seeking to raise capital. Private placements are usually extremely illiquid since they are not publicly traded on an exchange, and cannot be naturally sold, transferred, or cashed in.

Hedge funds are another type of alternative investment. Hedge funds pool investment funds from a pool of investors and generally engage in speculative trading activities in search of high returns. Higher potential returns naturally lead to more risk, so hedge fund investments tend to be more volatile than investments in individual equities or bonds.

Limited partnerships are also a common alternative investment. Similar to private placements, limited partnerships are typically privately held companies, and investments in such companies are very illiquid and can expose investors to unique risks.

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What Must My Broker Do if He/She Recommends an Alternative Investment?

Considering the speculative nature of alternative investments, brokers are required to fully disclose the risks and downfalls of investing in a particular alternative investment. Your broker should clearly explain the nature of the investment as well as how the investment aligns with your stated investment recommendations.

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What Should I Do if I Have Experienced Losses in Alternative Investments Recommended by My Broker?

If you are stuck in, or have experienced losses due to, private placements, hedge funds, limited partnerships, or any other alternative investment, the qualified Securities Law attorneys with Malecki Law can review your portfolio and chart a path toward recovering your losses.

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