Bloomberg

Bloomberg
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RIA NEWS APR 12, 2018
Family foundations beginning to shame public companies to invest more in ESG causes

Socially responsible investing doesn't always mean forgoing gains.

REGULATION, LEGAL & COMPLIANCE APR 12, 2018
Fidelity changing the way it charges for financial advice

Firm is moving to fees based on the amount of each customer's assets.

EQUITIES APR 11, 2018
Earnings season only pouring 'fuel on fire' for stocks

Upcoming reports on companies' profits may fail to fulfill high expectations.

ETFS APR 11, 2018
Do investors know Barclays is shutting their ETN?

Holders remain in 50 exchange-traded notes the British bank will close Thursday

LIFE INSURANCE AND ANNUITIES APR 11, 2018
Finra fines Park Avenue Securities $300,000 over variable annuity sales

Also censures firm, which agrees to review its supervision practices.

RIA NEWS APR 11, 2018
Finra bars no-show former Janney broker

Customers alleged Scott W. Palmer made unsuitable energy stock recommendations.

ALTERNATIVES APR 10, 2018
Private equity firms seek to do well by doing good

From saving tiny lizards to conserving hallway lights, firms actively embrace value of sustainability.

REGULATION, LEGAL & COMPLIANCE APR 10, 2018
Finra bars former OneAmerica broker for stealing customer's money

Domingo Gonzalez deposited client check into his bank account and spent it.

REGULATION, LEGAL & COMPLIANCE APR 09, 2018
Finra, looking into trading activity, bars no-show broker

William Brunner had resigned from Investment Planners Inc. last May.

MUTUAL FUNDS APR 09, 2018
Invesco increases its ETF position with acquisition of Guggenheim Investments

Purchase results in 28% growth, making it the fourth-largest ETF issuer in the U.S.