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Ex-broker in South Florida pleads guilty in Castleberry Financial fraud case
ALTERNATIVES AUG 19, 2019
Ex-broker in South Florida pleads guilty in Castleberry Financial fraud case

Meanwhile, another executive charged in same fraud dies in jail awaiting trial.

By Bruce Kelly
IRS sends second round of warnings to crypto investors
ALTERNATIVES AUG 16, 2019
IRS sends second round of warnings to crypto investors

Latest batch of letters signal that the agency is increasing its focus on cryptocurrency tax compliance.

By Bloomberg
Falling rates expose duration risk in bond funds
MUTUAL FUNDS AUG 16, 2019
Falling rates expose duration risk in bond funds

Double-digit returns on bond funds embracing longer durations can turn on a dime if interest rates start climbing.

By Jeff Benjamin
SEC draws ire with indexed annuity misstep
LIFE INSURANCE AND ANNUITIES AUG 16, 2019
SEC draws ire with indexed annuity misstep

The regulator issued an investor bulletin about indexed annuities that instead described a different product — a buffer annuity.

By Greg Iacurci
Warning about insurance reserves at GE is relevant to all U.S. life insurers
RETIREMENT PLANNING AUG 16, 2019
Warning about insurance reserves at GE is relevant to all U.S. life insurers

Markopolos cited the effect of new standards for how companies account for long-term care policies.

By Bloomberg
Bitcoin clobbered in market sell-off
ALTERNATIVES AUG 15, 2019
Bitcoin clobbered in market sell-off

Its recent performance debunks the talk of cryptocurrencies serving as a safe haven.

By Bloomberg
IFS Securities hit with $10 million trading loss: reports
RIA NEWS AUG 15, 2019
IFS Securities hit with $10 million trading loss: reports

IFS Securities facing 'substantial losses' from head bond trader's bet on Treasuries.

By Bruce Kelly
Volatility reignites debate about market timing
RIA NEWS AUG 15, 2019
Volatility reignites debate about market timing

Advisers shrug off the threat of an imminent recession

By Jeff Benjamin
Insurers pivot amid declining interest rates
LIFE INSURANCE AND ANNUITIES AUG 15, 2019
Insurers pivot amid declining interest rates

American Equity, American Financial Group, Lincoln National and Principal say lower interest rates are leading to reduced annuity payouts and, in some cases, lower sales.

By Greg Iacurci
GE plunges as Madoff accuser slams its accounting
RETIREMENT PLANNING AUG 15, 2019
GE plunges as Madoff accuser slams its accounting

Harry Markopolos estimates GE needs to boost reserves by $18.5 billion for long-term care insurance portfolio

By Bloomberg
Fee-based annuities still require caution, despite IRS olive branch
RIA NEWS AUG 14, 2019
Fee-based annuities still require caution, despite IRS olive branch

The agency may have fixed a big tax problem for RIAs, but issues remain with many fee-based products.

By Greg Iacurci
Franklin Templeton fund biggest loser as Argentine assets plummet
EMERGING MARKETS AUG 14, 2019
Franklin Templeton fund biggest loser as Argentine assets plummet

Large funds from Ashmore and Fidelity also suffered.

By Bloomberg
Countdown to catastrophe? The yield curve and the stock market
EQUITIES AUG 14, 2019
Countdown to catastrophe? The yield curve and the stock market

The inverted Treasury yield curve signals a recession is coming — but the timing is unclear.

By Bloomberg
Decision on Bitcoin ETF put off again by SEC
MUTUAL FUNDS AUG 13, 2019
Decision on Bitcoin ETF put off again by SEC

Regulator delayed verdict on two applications until October.

By Bloomberg
Brokerage customers winning more Finra arbitration cases
ALTERNATIVES AUG 13, 2019
Brokerage customers winning more Finra arbitration cases

Losing money in a bull market is 'red meat' for arbitrators.

By Mark Schoeff Jr.
Ladenburg Thalmann invests in impact investing startup
ALTERNATIVES AUG 13, 2019
Ladenburg Thalmann invests in impact investing startup

Newday offers low-barrier access to portfolios built around United Nations' sustainability goals.

By Ryan W. Neal
The SECURE Act could mean big changes for advisers
RETIREMENT PLANNING AUG 13, 2019
The SECURE Act could mean big changes for advisers

If the legislation passes, advisers would have more opportunities to offer lifetime income options to plan sponsors and participants.

By Melissa Kahn
Vanguard put shares of gun maker in a gun-free ETF
MUTUAL FUNDS AUG 12, 2019
Vanguard put shares of gun maker in a gun-free ETF

Mistake occurred in the FTSE index the ETF tracks; Vanguard says it is considering additional controls.

By Bloomberg
Advisers may not be equipped to help clients navigate private markets
ALTERNATIVES AUG 09, 2019
Advisers may not be equipped to help clients navigate private markets

As SEC moves toward easing rules on unregistered securities, advisers could become gatekeepers.

By Mark Schoeff Jr.
IRS delivers 'game changer' for fee-based annuities
LIFE INSURANCE AND ANNUITIES AUG 09, 2019
IRS delivers 'game changer' for fee-based annuities

Agency issued a private letter ruling to Nationwide indicating that pulling an advisory fee from the annuity doesn't create a taxable event.

By Greg Iacurci