Features

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Top 10 stories of 2019

Here are the most-read InvestmentNews stories of the year

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Cetera Advisors charged with defrauding clients

SEC said firm failed to disclose conflicts of interest related to more than $10 million in compensation.

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Peter Mallouk heads an RIA with $42 billion in assets — and has made only one acquisition

Creative Planning's president has grown the firm organically, but M&A will play a role going forward.

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SEC upholds Finra bar despite recent Supreme Court ruling

Agency said high court's decision in Kokesh only applies to monetary sanctions.

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Investment adviser arrested and charged in $105 million securities fraud

Brenda Smith of Philadelphia is also facing SEC civil charges that she lied about the performance of her fund, Broad Reach Capital.

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Wills of Jeffrey Epstein, Aretha Franklin raise questions of legitimacy

Because they were unconventional, the wills could be challenged.

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Annuity yield in short supply as interest rates falter

Few highly rated insurers are offering fixed annuities guaranteeing more than 3%, a challenge for advisers in search of yield for clients.

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Dawn Bennett appeals conviction of running $20 million Ponzi

In July, Ms. Bennett was sentenced to 20 years in prison.

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Charles Schwab lawsuit win has big implications for all 401(k) plans

The ruling could mean plan sponsors can force employees into individual arbitration rather than defend a class-action suit.

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Faith-based funds attract loyal investors

It turns out negative screens aren't necessarily a drag on funds' performance.

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