Investing

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MUTUAL FUNDS JAN 11, 2017
Smart-beta strategies hot with stocks, not with bonds

Liquidity and indexing issues figure into the small number of fixed-income funds in this space.

By John Waggoner
Ex-CFO at REIT formerly controlled by Nicholas Schorsch pleads not guilty to securities fraud, other charges
ALTERNATIVES JAN 11, 2017
Ex-CFO at REIT formerly controlled by Nicholas Schorsch pleads not guilty to securities fraud, other charges

Arraigned in federal court Wednesday, Brian S. Block's trial date is set for May 15.

By Bruce Kelly
Nicholas Schorsch could be in government's cross-hairs
ALTERNATIVES JAN 11, 2017
Nicholas Schorsch could be in government's cross-hairs

Securities attorneys say prosecutors may try to 'flip' indicted CFO Brian S. Block to get to former REIT czar. <b><i>(More: <a href=&quot;http://www.investmentnews.com/article/20150921/FEATURE/150919894/how-nick-schorsch-lost-his-mojo&quot;_blank&quot;>How Nick Schorsch lost his mojo</a>)</i></b>

By Bruce Kelly
Dow at 20,000 — is it time to double down or pull out?
EQUITIES JAN 10, 2017
Dow at 20,000 — is it time to double down or pull out?

Strategists and money managers warn about chasing performance, citing concerns from stretched valuations to uncertainty over Donald Trump's policies.

By bhordt
Dow sails past 20,000
EQUITIES JAN 10, 2017
Dow sails past 20,000

The stock index hit 20,000 for the first time Wednesday morning as corporate earnings and signs that President Donald Trump will push through pro-growth policies reignited the equities rally that stalled a month ago.

By Bloomberg
Will baby boomers be savior of bond market?
FIXED INCOME JAN 10, 2017
Will baby boomers be savior of bond market?

As they reach retirement age and become more risk averse, boomers will fuel demand for fixed-income securities.

By Bloomberg
Here's why your clients probably didn't beat the S&P 500 in 2016
MUTUAL FUNDS JAN 09, 2017
Here's why your clients probably didn't beat the S&P 500 in 2016

Expenses, overseas funds, bonds all bogged down performance. But what is the takeaway for investing in 2017?

By John Waggoner
Health savings accounts front and center amid Obamacare repeal efforts
RETIREMENT PLANNING JAN 08, 2017
Health savings accounts front and center amid Obamacare repeal efforts

With most versions of the plans aimed at replacing Obamacare including higher deductibles and out-of-pocket expenses, HSAs could represent a tradeoff in terms of costs.

By Jeff Benjamin
Even top notch firms feel sting from fickle investors
EQUITIES JAN 06, 2017
Even top notch firms feel sting from fickle investors

Funds that have historically outperformed the market still suffer outflows when they stumble &amp;mdash; even a little bit.

By Bloomberg
Vanguard's market share keeps growing
MUTUAL FUNDS JAN 06, 2017
Vanguard's market share keeps growing

Only Vanguard and Dimensional Fund Advisors saw net inflows in November.

By John Waggoner
MUTUAL FUNDS JAN 05, 2017
The long and short of long-short funds

Make sure you know what you're getting before you take a ride.

By John Waggoner
ALTERNATIVES JAN 05, 2017
Smart-beta returns track their Morningstar categories

A few are just a bit smarter than the average.

By John Waggoner
LIFE INSURANCE AND ANNUITIES JAN 04, 2017
Office of Management and Budget reviewing proposed exemption under DOL fiduciary rule for some indexed annuity distributors

Some indexed annuity distributors are poised to get a shot in the arm from the proposal, which would make it easier for independent agents to sell the annuities under the rule.

By Greg Iacurci
Elizabeth Warren investigating sales of Prudential insurance policies by Wells Fargo
LIFE INSURANCE AND ANNUITIES JAN 04, 2017
Elizabeth Warren investigating sales of Prudential insurance policies by Wells Fargo

The Massachusetts senator and Rep. Elijah Cummings have asked the insurance company's CEO for information on sales of term life insurance through Wells Fargo.

By Greg Iacurci
Complaints surface at Finra over buffer annuities
LIFE INSURANCE AND ANNUITIES JAN 03, 2017
Complaints surface at Finra over buffer annuities

Regulator says new type of VA is highly complex and uses structured products &amp;mdash; not mutual funds &amp;mdash; in the sub account as the underlying investment.

By Bruce Kelly
Brace for thousands of new DOL fiduciary-friendly mutual fund share classes
MUTUAL FUNDS JAN 03, 2017
Brace for thousands of new DOL fiduciary-friendly mutual fund share classes

New T shares would feature a uniform 2.5% front-end load and a 0.25% trailing 12-b(1) fee.

By John Waggoner
UBS loses $18 million arbitration award over Puerto Rico closed-end bond funds
FIXED INCOME DEC 28, 2016
UBS loses $18 million arbitration award over Puerto Rico closed-end bond funds

Largest award to date as investors seek to recoup funds lost investing in public projects on the Caribbean island.

By Bruce Kelly
Troubled Texas REIT sends confusing signals to shareholders
ALTERNATIVES DEC 27, 2016
Troubled Texas REIT sends confusing signals to shareholders

Shareholders of United Development Funds, which hasn't filed financial reports for more than a year, are in a state of limbo, according to a plaintiff's attorney.

By Bruce Kelly
Nontraded BDC sales sink like a stone in 2016
ALTERNATIVES DEC 27, 2016
Nontraded BDC sales sink like a stone in 2016

Regulation, performance and market forces have combined to curtail fundraising this year.

By Bruce Kelly
Small broker-dealer owner settles with Finra over allegations of concentrating clients in illiquid alts
ALTERNATIVES DEC 27, 2016
Small broker-dealer owner settles with Finra over allegations of concentrating clients in illiquid alts

Jason Vanclef was also accused of promoting his business through a book he had written that the regulator said made false claims about alternative investments

By Bruce Kelly