Top 10 stories of 2019
Here are the most-read InvestmentNews stories of the year
Cetera Advisors charged with defrauding clients
SEC said firm failed to disclose conflicts of interest related to more than $10 million in compensation.
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.
SEC upholds Finra bar despite recent Supreme Court ruling
Agency said high court's decision in Kokesh only applies to monetary sanctions.
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.
Wills of Jeffrey Epstein, Aretha Franklin raise questions of legitimacy
Because they were unconventional, the wills could be challenged.
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.
Dawn Bennett appeals conviction of running $20 million Ponzi
In July, Ms. Bennett was sentenced to 20 years in prison.
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.
Faith-based funds attract loyal investors
It turns out negative screens aren't necessarily a drag on funds' performance.
