Features

Cetera Advisors charged with defrauding clients

Cetera Advisors charged with defrauding clients

August 30, 2019

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

Variable, indexed annuities may cost more than you think

Variable, indexed annuities may cost more than you think

August 29, 2019

This detail could catch clients off guard when they surrender or exchange a policy.

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

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

August 28, 2019

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

SEC upholds Finra bar despite recent Supreme Court ruling

SEC upholds Finra bar despite recent Supreme Court ruling

August 27, 2019

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

Investment adviser arrested and charged in $105 million securities fraud

Investment adviser arrested and charged in $105 million securities fraud

August 27, 2019

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

Wills of Jeffrey Epstein, Aretha Franklin raise questions of legitimacy

Wills of Jeffrey Epstein, Aretha Franklin raise questions of legitimacy

August 26, 2019

Because they were unconventional, the wills could be challenged.

Annuity yield in short supply as interest rates falter

Annuity yield in short supply as interest rates falter

August 23, 2019

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

Dawn Bennett appeals conviction of running $20 million Ponzi

Dawn Bennett appeals conviction of running $20 million Ponzi

August 22, 2019

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

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

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

August 21, 2019

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

Faith-based funds attract loyal investors

Faith-based funds attract loyal investors

August 20, 2019

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

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