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Finra arbitrator awards $1.5 million in damages to oil and gas investor

July 6, 2018

A Finra arbitrator has ordered Texas E&P Partners and its principal, Mark Plummer, to pay a former customer $1 million in punitive damages and $521,000 in compensatory damages. The customer, Eli Garza, claimed the firm and Mr. Plummer breached...

Goldman Sachs poses new threat to active mutual fund managers

July 5, 2018

Truly passive index and exchange-traded funds are winning over many financial advisers. There are some holdouts among these middlemen who look after perhaps as much as $25 trillion. They are not rushing to move their clients into cheap beta-style...

Muni closed-end funds may be ripe for tax-loss sales

July 5, 2018

It's only July, but it's not too early to discuss selling municipal-bond closed-end funds to offset a capital gains tax liability, according to Greg Neer of Relative Value Partners. Almost 90% of closed-end funds monitored by Bloomberg posted...

Earnings season is approaching, but all stocks care about is a trade war

July 5, 2018

One of the biggest casualties of the tariff war has been the power of corporate profits to energize stocks. Now another earnings season is at hand, and not even that can keep investors from obsessing over trade. It's the story of the market...

Trade war could harm Americans' retirement savings

July 3, 2018

Donald Trump's brewing trade war could have another collateral victim: Americans' retirement savings. The second quarter officially ended on Friday. By next week, large U.S. companies will start reporting how they did during the period. Most...

Strategists see a blowout second half

July 2, 2018

A global trade war is looming and emerging markets are plunging. Time to pile into U.S. stocks. That's the message from Wall Street prognosticators, who have stuck with full-year forecasts during a first half that's been anything but smooth....

Galvin: 10 broker-dealers to be scrutinized

July 2, 2018

Ten broker-dealers based in Massachusetts will be scrutinized by the state in connection with their practices around private-placement sales, according to a release from William F. Galvin, the state's chief securities regulator. The firms involved...

The sad but important truth about taxable bonds and AUM

July 2, 2018

Investors should hold a mix of stocks and bonds. Most high-income investors have limits on their ability to shelter savings, so they need to invest a significant amount in brokerage accounts. Depending on their risk tolerance, some of these...

Trade fight puts ETF investors on the defensive

July 2, 2018

The threat of a global trade war is starting to show up in investor portfolios. Investors poured cash into exchange-traded funds that track producers of consumer staples and energy last month, and ditched holdings in industrial and financial...

Advisers take a short-term view of trade skirmishes

June 29, 2018

Heading into a week that includes the July Fourth celebration, it would be easy to overlook or ignore the impact of a potential trade war between the United States and several global trading partners. But savvy financial advisers are paying...

Volatile trading in first half upends expectations

June 29, 2018

The half that began with "melt-up" euphoria ended with melt-down fear. Investors breezed into 2018 expecting to pick up easy returns from steadily rising asset prices. Instead, they're nursing losses on bets that had delivered the biggest gains...

Bitcoin bubble approaches dot-com levels

June 29, 2018

Bitcoin's meteoric rise last year had many observers calling it one of the biggest speculative manias in history. The cryptocurrency's 2018 crash may help cement its place in the bubble record books. Down 70% from its December high after sliding...

Retirement planning 10 years after the financial crisis

June 28, 2018

Ten years after the start of the 2008 financial crisis, the retirement income conversation is starkly different than it once was. In fact, everything has changed, from the way advisers and investors look at risk, to the investment vehicles they...

Equity market gyrations catch fund managers off guard

June 28, 2018

For fund managers, a good year has quickly come under threat as their favorite stocks stopped cooperating. Blame it on equity market gyrations that sent heavily owned industries such as technology, consumer discretionary and banks to the bottom...

Upstart RIA uses access to alternatives to recruit advisers

June 28, 2018

A fledgling New York-based financial advisory firm aims to make a big splash as a consolidator by baiting the hook with access to sophisticated investments. Third Seven Advisors, which has absorbed two advisory practices for a total of nearly...

UBS to pay $4.3 million in Puerto Rico bonds claim

June 27, 2018

UBS Financial Services Inc. has lost another multi-million-dollar Finra arbitration award stemming from the sale of individual Puerto Rico bonds and closed-end funds. According to the arbitration award, which was decided last Friday by a three-person...

Vanguard files for two ETFs with ESG focus

June 27, 2018

Vanguard filed a preliminary registration statement with the Securities and Exchange Commission for two exchange-traded funds to complement its existing environmental, social and governance (ESG) mutual fund. The two new funds, the Vanguard...

Small caps are losing their immunity to trade jitters

June 27, 2018

A shelter from the storm is starting to sprout leaks. Bearish sentiment is growing on the Russell 2000 Index of small-cap stocks, a group that had seemed relatively immune to the trade-tariff saber-rattling that's recently cast a pall over the...

Private-equity veterans build $2 billion advisory firm from scratch

June 26, 2018

The wealth management space has become an attractive target of deep-pocketed private-equity investors, but rare is the private-equity investor launching a financial advisory firm from scratch. Enter Cresset Capital Management, a 1-year-old Chicago-based...

Momentum stocks set for more pain as quarter ends

June 26, 2018

The calendar and the computers are working against formerly high-flying momentum stocks. The iShares Edge MSCI USA Momentum Factor exchange-traded fund (MTUM) has given back 3.9% over the past three sessions. And Christopher Harvey, Wells Fargo's...

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