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Finra panel awards investors $1.16 million over sales of REITs, other complex products

July 17, 2019

Finra arbitrators awarded six investors $1.16 million in a case in which they alleged Berthel Fisher & Co. Financial Services Inc. sold them inappropriate complex investments. The three-member, all-public Financial Industry Regulatory Authority...

Reading the Signs of the Global Financial Crisis

July 16, 2019

On Friday, September 12, 2008, the storied investment banking firm Lehman Brothers enjoyed an “A” credit rating from a prominent agency. On Monday, September 15, the firm filed for bankruptcy protection. More than a decade later, investors...

Fidelity adds low-cost funds, stepping up fee war

July 16, 2019

Fidelity Investments is stepping up its rivalry with Vanguard Group by launching five new index mutual funds with expense ratios it says are lower than the equivalent products at its competitor. Tuesday, Fidelity, which has $2.8 trillion under...

Stock investors make $6 billion bet on S&P 500 ETFs

July 16, 2019

With U.S. stocks at record highs, investors are betting that the party will continue. The three largest exchange-traded funds that track the S&P 500 Index took in a combined $6.2 billion last week, just as the benchmark topped 3,000 for the...

Schorsch, AR Capital to pay $60 million to settle SEC charges

July 16, 2019

Nicholas Schorsch, the former nontraded real estate investment trust czar who in his heyday raised billions of dollars annually from retail investors, and his firm AR Capital agreed to pay $60 million in penalties to settle Securities and Exchange...

Advisers scramble to help retirees navigate looming Fed rate cut

July 15, 2019

For the first time in more than a decade, financial advisers are having to prepare client portfolios for an interest rate cut by the Federal Reserve, and the general consensus of advice is to try and not panic. "Stay away from bank-loan bonds...

Tiny ETF beats tech and everything else in second quarter

July 12, 2019

Forget oil, bonds and tech — if you wanted to make the most money from an exchange-traded fund last quarter, it was the market for transporting iron ore to China where investors really hit the jackpot. The Breakwave Dry Bulk Shipping ETF returned...

Panic sales rekindle debate over ETF liquidity

July 12, 2019

A couple of prominent investment funds are currently living through a portfolio manager's worst nightmare: So many customers are demanding their money back that withdrawals need to be frozen. Amit Deshpande, a former longtime risk manager, sees...

ESG funds hitting their stride with record-level inflows

July 12, 2019

Sustainable investing strategies have suddenly become the magic bullet for mutual funds and exchange-traded funds. The latest data from Morningstar Inc. show funds that focus on environmental, social and governance issues attracted $8.9 billion...

Cetera, Allianz and Capital Group partner on retirement income technology

July 10, 2019

Cetera, Allianz and Capital Group are collaborating on a new retirement income tool the companies say will help advisers generate a reliable source of retirement income that lasts the rest of a client's life. The tool, SetIncome, is exclusively...

David Lerner Associates' financial condition deteriorates

July 10, 2019

David Lerner Associates Inc., once known for its radio ads selling municipal bonds, reported in a recent regulatory filing that its financial condition had deteriorated in 2018. The filing with the Securities and Exchange Commission, an annual...

Surging demand turns solar panels into the hottest summer investment

July 10, 2019

Investments in solar energy have been shining brightly this year, and it's not just the summer heat wave that's pushing these stocks and funds to double- and triple-digit gains. The 56.6% surge from the start of the year in the $390 million...

World bond index adds climate-risk screen

July 9, 2019

For the first time ever, the sovereign debt issued by the world's developed nations is being indexed according to each country's climate-risk factors. The FTSE Climate Risk-Adjusted World Government Bond Index is the latest example of the expanding...

Embracing the highs and lows of cannabis investing

July 9, 2019

When it comes to investing risks and opportunities, there is currently nothing quite like cannabis. While its recreational use is still illegal at the federal level, the momentum behind a push to regulate marijuana alongside alcohol is unmistakable....

Build wealth by investing in your advisory business

July 9, 2019

Most financial advisers do a poor job with their own financial planning. You'd think that financial advisers who spend their careers advising clients would wise up and learn that one of the best ways to build real wealth is to create a great...

Cannabis ETFs face a 'day of reckoning'

July 8, 2019

There may be trouble ahead for the growing number of exchange-traded funds that invest in cannabis companies. Pot ETFs face a "day of reckoning" within the next couple of years as investor interest in the industry — which has returned more...

Deutsche Bank to slash workforce by one fifth as part of radical overhaul

July 8, 2019

Deutsche Bank AG unveiled a radical overhaul that will see the lender exit its equities business, post a 2.8 billion-euro ($3.1 billion) second-quarter loss and cut the workforce by a fifth to reverse a slide in profitability. Chief Executive...

Morningstar emphasizes fees, performance in upgrade of fund ratings

July 8, 2019

In the latest iteration of its forward-looking analysts' ratings,​ Morningstar Inc. is placing more emphasis on fees and raising the bar for actively managed funds, which will be required to beat both their benchmark and their peer group to...

Correcting three misconceptions about ETFs

July 8, 2019

There are probably no hard numbers to prove it but I'm guessing the odds are good that, despite the increasing popularity of exchange traded funds, most investors don't really understand the mechanics of them. It's not that being an expert in...

Party may be over for stocks in 2019

July 8, 2019

Summertime and the livin' is easy, right? The market is near a record, President Donald J. Trump delivered a nugget of good news on the trade front, the labor market is thriving and the Federal Reserve is at least considering a rate cut. And...

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