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Hurricanes that ravaged Puerto Rico also wreck its bonds

September 29, 2017

Hurricanes Irma and Maria devastated Puerto Rico, and the storms' effects on the islanders will last for years. Far less dire – but still lingering – will be the effect on Puerto Rico's municipal bonds and the mutual funds that hold them....

Ex-Morgan Stanley broker at center of Puerto Rico bond disputes

September 28, 2017

The Puerto Rico municipal bond mess has landed on the doorstep of Morgan Stanley, with mounting arbitration claims against the firm stemming from sales of the bonds and closed-end funds from a former broker in Miami. The broker, Angel Aquino-Velez,...

Investors see stock market correction ahead — but most aren't doing anything about it

September 28, 2017

Investors expect the stock market to plunge. Their response: Whatever. A little more than half of U.S. investors anticipate a decline this year that will wipe out "significant gains," according to the latest Wells Fargo/Gallup poll results....

Finra sanctions Morgan Stanley over UIT sales

September 25, 2017

Finra has fined Morgan Stanley $3.25 million and required the firm to pay approximately $9.78 million in restitution to more than 3,000 affected customers for failing to supervise its brokers' short-term trades of unit investment trusts. The...

Active managers still losing to indexes

September 25, 2017

Index funds are still beating actively managed funds like a piñata at a 10-year-old's birthday party, according to Standard & Poor's. But the American Funds says advisers can avoid some truly awful funds with a few simple, additional screens....

Collectibles market not what it used to be

September 22, 2017

If you have clients who are thinking of investing in collectibles, Harry Rinker, dean of collectibles, has a few words for you: Collecting isn't what it used to be. "Collecting as a whole is threatened," said Mr. Rinker, head of the Institute...

Odd letter highlights fiduciary concerns in Puerto Rico

September 21, 2017

Even when a broker is a fiduciary, he can certainly fail to act like one. Take, for example, the case of Oriental Financial Services Corp. It is a small broker-dealer that is part of a larger financial services company based in San Juan, Puerto...

A primer on evaluating how a company uses cash

September 21, 2017

Let's assume you could go back in time one second for every dollar that nonfinancial companies in the Standard & Poor's 500 stock index had in cash. If we were talking about $1 million dollars, we'd be just 12 days younger, and we'd be able...

Fed to start shrinking portfolio in October

September 20, 2017

Federal Reserve officials set an October start for shrinking their $4.5 trillion stockpile of assets, moving to unwind a pillar of their crisis-era support for the economy. They continued to forecast one more interest-rate hike later this year,...

Massachusetts blasts SII over nontraded REIT sales

September 20, 2017

Massachusetts regulators have charged SII Investments with "dishonest or unethical conduct and failure to supervise" sales of non-traded real estate investment trusts (REITs) to investors by inflating clients' liquid net worth. In doing so,...

Global economy strong, but investment outlook not so much: Vanguard

September 20, 2017

The world's biggest mutual fund company says it's surprised by the global economy's strength this year, but that doesn't mean it's more optimistic about the investment outlook. Investors should brace for a decade of "muted returns," said Nathan...

With yields low and interest rates headed up, what kind of bonds do advisers buy? ​

September 19, 2017

The ancient Etruscans believed you could tell the future by examining sheep livers, a practice called haruspicy. This was known as the wisdom of the ancients. Nevertheless, haruspicy probably had a better record of predicting interest rates...

Let's get real about dividend stocks

September 19, 2017

If you want to promote dividend stocks, you can draw from a number of good stories that can help make you and your client feel good about it. Dividends were responsible for nearly half of the total return on equity investments in the 20th century....

Managed futures funds have fared poorly, but could shine in a market downturn

September 19, 2017

Taken as a group, managed futures mutual funds have been wretched over the past five years. But the category has some strong performers, and if you're looking for an unloved area due for a turn, managed futures might be the place to go. The...

Impax Asset Management to acquire Pax World

September 18, 2017

Impax Asset Management Group of the U.K. is acquiring Pax World Management, the investment adviser to Pax World Funds, creating a global firm specializing in sustainable investing. Under the terms of the deal, Impax will acquire Pax for $52.5...

The value of advice

September 15, 2017

New research from InvestmentNews and Cambridge Investment Research shows how advisers can take a new approach to fees, M&A and succession planning to help accelerate the value of their services – and ultimately their businesses. The following...

Cerulli: Advisers increasingly outsourcing portfolio management

September 14, 2017

Investment advisers are increasingly outsourcing portfolio management and concentrating on building client relationships, according to a study by Cerulli Associates. Outsourcing has three advantages, according to Cerulli, and the first is that...

It's been a good year for publicly traded brokerage firms — but not all

September 13, 2017

Wall Street's expectation of a pullback in securities regulation by the Trump administration and a delay or outright repeal of the Department of Labor's fiduciary rule has launched a rally this year in brokerage stocks — at least for most...

Betterment partners with BlackRock, Goldman to offer more portfolio options

September 13, 2017

Betterment has partnered with BlackRock and Goldman Sachs to push its digital platform further into the realm of more-complex investment strategies. The robo-advice platform, with $10 billion under management, announced Tuesday it is adding...

iShares dominating ETF inflows for 2017

September 13, 2017

In the battle for ETF dollars, iShares is breaking through the front lines. BlackRock's iShares saw an estimated net $9.1 billion in new money in August, according to Morningstar estimates, beating rival Vanguard's inflow of $8.7 billion. For...

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