The securities watchdog said she broke US rules by not disclosing she was paid for the promotion.
The firm's former CEO, Laurence Allen, is barred and its current CEO, Michael Schunk, is suspended.
The $40 million fund invests at least 80% of its net assets in stocks of large cap companies that meet ESG criteria determined by the portfolio managers.
The fund might include firms that have products or services tied to virtual platforms, social media, gaming, digital assets and augmented reality.
I-Bonds Bucket allows users to invest in the securities while bypassing the glitchy TreasuryDirect.gov website.
A Schroders study, which surveyed more than 23,000 individuals globally, found people seek sustainable investments for multiple reasons.
Only 21% of Americans feel comfortable investing in cryptocurrencies, down from 35% in 2021.
New Schwab research shows the growing appeal of exchange-traded funds, while raising questions about whether investors are open to direct indexing.
The new fund will have an expense ratio of just 0.03%. That’s lower than even The Vanguard Group’s $17 billion muni ETF, which charges 0.05%.
Thomas is partnering with former Bank of America credit specialist Anthony Hoye to provide financing to minority and women-led businesses.
The fund requires a $500 minimum investment and charges a management fee of 2.75%, with a total expense ratio estimated at 4.22%.
Limra estimates 86 million employees could have access to new insurance benefits within 2 years.
It's been win some, lose some for UBS as it defends its complex options strategy, but lately investors seem to be prevailing more.
Daniel Lerner, who's executive vice president of investor services at David Lerner Associates, faces potential disciplinary action over sales of energy funds.
The index fund giant is making history with its first-ever shuttering of a U.S.-listed ETF, but it's not elaborating on its plans for its five other factor-based funds.
Cash saw inflows of $30 billion in the week through Sept. 21 with the vast bulk now earning upwards of 2%, with pockets paying 3%, 4% or more.
In an RIA Lab discussion of what investors should expect from alternative investments, panelists note that fees are high and liquidity is limited.
As the spillover from the UK's proposed tax cuts washed into the US stock market, the index posted its fourth consecutive day of losses.
But for sustainability-linked bonds, sales are up 18% year-to-date compared with this time in 2021, according to S&P.
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