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Galvin charges Janney with churning high-fee mutual funds
MUTUAL FUNDS MAY 07, 2019
Galvin charges Janney with churning high-fee mutual funds

Massachusetts alleges firm flagged problem with former broker but did nothing to stop him.

By Mark Schoeff Jr.
States approving bigger rate increases for long-term care policies
RETIREMENT PLANNING MAY 07, 2019
States approving bigger rate increases for long-term care policies

Some are signing off on premium increases in the 200%-300% range, one executive said.

By Greg Iacurci
Fidelity to start trading bitcoin
ALTERNATIVES MAY 06, 2019
Fidelity to start trading bitcoin

Move puts firm a step ahead of top competitors on sidelines

By Bloomberg
Edward Jones doesn't sell indexed annuities, bucking broker-dealer trend
LIFE INSURANCE AND ANNUITIES MAY 06, 2019
Edward Jones doesn't sell indexed annuities, bucking broker-dealer trend

Edward Jones is an outlier among its peers, experts say

By Greg Iacurci
Federal appeals court rules against advisers on disclosure failure
MUTUAL FUNDS MAY 06, 2019
Federal appeals court rules against advisers on disclosure failure

Lawyer says the case gives SEC enforcement more ammunition on share-class crackdown.

By Mark Schoeff Jr.
The longest bull market in history can't shake the skeptics
RIA NEWS MAY 03, 2019
The longest bull market in history can't shake the skeptics

Investors abandon equity mutual funds as the S&P 500 logs a 16% gain.

By Jeff Benjamin
BlackRock takes lead in battle of lower-fee ETFs, but winning hurts
MUTUAL FUNDS MAY 03, 2019
BlackRock takes lead in battle of lower-fee ETFs, but winning hurts

Defections and cannibalization are growing risks for fund issuers.

By Bloomberg
Is time running out for advisers who sold GPB private placements?
ALTERNATIVES MAY 02, 2019
Is time running out for advisers who sold GPB private placements?

GPB Capital is now a year late in making important financial information public. Finra could discipline brokers who sold the private placement.

By Bruce Kelly
Advisers put fundamentals ahead of sell-in-May warning
RIA NEWS MAY 01, 2019
Advisers put fundamentals ahead of sell-in-May warning

Shunning the historical precedent of moving to the sidelines in May, advisers remain bullish on stocks.

By Jeff Benjamin
Elderly investors win $3.2 million Finra arbitration award against AXA Advisors
LIFE INSURANCE AND ANNUITIES MAY 01, 2019
Elderly investors win $3.2 million Finra arbitration award against AXA Advisors

Upstate New York couple cites five unsuitable variable annuity, life insurance transactions.

By Mark Schoeff Jr.
Asset managers preparing to launch nontransparent ETFs
ETFS MAY 01, 2019
Asset managers preparing to launch nontransparent ETFs

With SEC approval closer than ever, fund companies focus on the latest ETF twist

By Jeff Benjamin
ETrade to add cryptocurrencies to platform
ALTERNATIVES APR 30, 2019
ETrade to add cryptocurrencies to platform

Firm will start with bitcoin and Ethereum.

By Bloomberg
Morgan Stanley bear unbowed after bad call
EQUITIES APR 29, 2019
Morgan Stanley bear unbowed after bad call

Mike Wilson admits underestimating Fed-induced rally, but sticks with long-term pessimistic outlook.

By Bloomberg
Hot IPO market has some advisers seeing red
RIA NEWS APR 29, 2019
Hot IPO market has some advisers seeing red

Clients can get caught up in the frenzy over the latest initial public offering and end up overpaying for shares.

By Jeff Benjamin
$1 trillion technology rally keeps on rolling
EQUITIES APR 29, 2019
$1 trillion technology rally keeps on rolling

Tech valuations are at levels never seen before this bull market, but the sector is seeing more interest than any other.

By Bloomberg
Fintechs find new focus helping clients with cash management
FINTECH APR 26, 2019
Fintechs find new focus helping clients with cash management

Robo-advisers, lenders and stock trading apps are all launching high-yield savings accounts.

By Ryan W. Neal
Focus on taxes, compensation turns into tech-industry niche
RIA NEWS APR 26, 2019
Focus on taxes, compensation turns into tech-industry niche

Seattle-based adviser builds direct line to Amazon, Microsoft employees.

By Jeff Benjamin
American Funds, Empower forge partnership on 401(k) managed accounts
RETIREMENT PLANNING APR 26, 2019
American Funds, Empower forge partnership on 401(k) managed accounts

Deal could benefit American Funds by providing more asset retention and increased exposure among plan sponsors.

By Greg Iacurci
Muni funds land a year's worth of cash in four months
MUTUAL FUNDS APR 25, 2019
Muni funds land a year's worth of cash in four months

Money coming from people who saw their tax bills rise as a result of the cap on state and local tax deductions.

By Bloomberg
Startup offers financing for employee stock purchase plans
EQUITIES APR 25, 2019
Startup offers financing for employee stock purchase plans

Such plans, which enroll only about a third of eligible workers, offer the 'purest form' of arbitrage, according to startup's founder

By Bloomberg