Investing

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Ohio National sued by broker-dealer Veritas over annuity trail commissions
LIFE INSURANCE AND ANNUITIES NOV 08, 2018
Ohio National sued by broker-dealer Veritas over annuity trail commissions

The lawsuit comes days after an LPL broker filed a similar legal complaint.

By Greg Iacurci
Commonwealth advisers turning to private equity
ALTERNATIVES NOV 08, 2018
Commonwealth advisers turning to private equity

IBD's advisers have invested $70 million of client money in PE funds over the past two years.

By Bruce Kelly
Art wealth management course comes with CE credits from CFP Board
ALTERNATIVES NOV 07, 2018
Art wealth management course comes with CE credits from CFP Board

The program is an introduction to the art market from an investment perspective.

By Sarah Min
Here's how a Democratic House will affect financial advisers
LIFE INSURANCE AND ANNUITIES NOV 07, 2018
Here's how a Democratic House will affect financial advisers

While the new majority is unlikely to block the SEC advice rule, retirement income advocates forecast momentum for annuities legislation.

By Mark Schoeff Jr.
Don't bet on a post-midterm market rally
EQUITIES NOV 06, 2018
Don't bet on a post-midterm market rally

Trade tensions and the prospect of the U.S. economy overheating could limit any upside in stocks.

By Bloomberg
LPL broker sues Ohio National for 'unlawful' move on variable annuity compensation
LIFE INSURANCE AND ANNUITIES NOV 06, 2018
LPL broker sues Ohio National for 'unlawful' move on variable annuity compensation

Lance Browning is trying to stop the insurer from terminating annuity trail commissions on behalf of thousands of other brokers.

By Greg Iacurci
ETF investors hunker down in cash
MUTUAL FUNDS NOV 05, 2018
ETF investors hunker down in cash

Two ETFs that invest in Treasury bills drew a combined $1.5 billion last week.

By Bloomberg
Meredith Whitney was wrong about munis
FIXED INCOME NOV 02, 2018
Meredith Whitney was wrong about munis

The banking analyst's 2010 prediction that there would be '50 to 100' defaults among state and local governments failed to pan out.

By Brian Chappatta
Active managers failed to shine as equities tumbled last month
EQUITIES NOV 02, 2018
Active managers failed to shine as equities tumbled last month

Growth managers did the worst, while value managers managed a better showing.

By Bloomberg
Faced with market rough patch, stock pickers fail to shine
EQUITIES NOV 02, 2018
Faced with market rough patch, stock pickers fail to shine

Growth managers fared the worst, with only 13% beating benchmark for October.

By Bloomberg
Shorts piled into stock ETFs reach fever pitch
MUTUAL FUNDS NOV 02, 2018
Shorts piled into stock ETFs reach fever pitch

Experts say rally of the last three days propelled by buyback of ETFs and stocks.

By Bloomberg
D.A. Davidson is latest broker-dealer snagged for overly expensive fund shares
MUTUAL FUNDS NOV 01, 2018
D.A. Davidson is latest broker-dealer snagged for overly expensive fund shares

Firm will repay $447,000 to clients it overcharged for more than seven years.

By Bruce Kelly
ETF buyers seek defensive plays amid market turmoil
MUTUAL FUNDS NOV 01, 2018
ETF buyers seek defensive plays amid market turmoil

$4.7 billion funneled into US-listed funds in October was light compared to $23 billion or more during each of three previous months.

By Bloomberg
More reps bolt from Waddell & Reed, including some it would have liked to have kept
INDEPENDENT BROKER DEALERS OCT 31, 2018
More reps bolt from Waddell & Reed, including some it would have liked to have kept

The broker-dealer lost 56 brokers and advisers in the third quarter, and not all of them low-producers the firm wants to shed.

By Bruce Kelly
SEC proposes variable annuity summary prospectus
LIFE INSURANCE AND ANNUITIES OCT 31, 2018
SEC proposes variable annuity summary prospectus

Agency wants to improve investor knowledge, but consumer advocate says seven-page example included in proposal has similar weaknesses to Form CRS

By Mark Schoeff Jr.
Voya to exit individual life insurance business
LIFE INSURANCE AND ANNUITIES OCT 31, 2018
Voya to exit individual life insurance business

The insurer joins other large players that have recently left the business, which is less profitable than it used to be.

By Greg Iacurci
Advisers carve wealth management unit out of $16 billion asset manager
RIA NEWS OCT 30, 2018
Advisers carve wealth management unit out of $16 billion asset manager

Resonant Capital Advisors, Madison Investment Advisors cite business risks as one of the reasons for the separation.

By Jeff Benjamin
Answering 'Is that an ETF?' may get easier under plan put to SEC
ETFS OCT 29, 2018
Answering 'Is that an ETF?' may get easier under plan put to SEC

Proposal would bar leveraged products from describing themselves as exchange-traded funds

By Bloomberg
Advisers revisit bond ladders as rates rise
PRACTICE MANAGEMENT OCT 29, 2018
Advisers revisit bond ladders as rates rise

As interest rates head higher, pushing bond prices down, advisers seek safety in individual bonds.

By Jeff Benjamin
Ohio National offers new round of variable annuity buyouts
LIFE INSURANCE AND ANNUITIES OCT 29, 2018
Ohio National offers new round of variable annuity buyouts

Some experts believe the offer is related to the company's recent decision to discontinue trail commissions on some VAs.

By Greg Iacurci