Features
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
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
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
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
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
August 26, 2019
Because they were unconventional, the wills could be challenged.
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
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
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
August 20, 2019
It turns out negative screens aren't necessarily a drag on funds' performance.
