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Broker barred for excessive trading that cost clients $1.8 million

August 16, 2019

The brokerage industry's regulator has barred broker Gregory T. Dean from the industry for excessively trading customer accounts, which led to $1.8 million in losses for clients but generated hefty commissions for him. Mr. Dean, formerly registered...

Falling rates expose duration risk in bond funds

August 16, 2019

Falling interest rates across the global fixed-income market have proven to be a boon for certain bond funds that are pushing the limits on interest-rate risk. For example, by delivering promised longer-duration exposure, both the Pimco Extended...

Investing tips from the wealthiest family on earth

August 16, 2019

Sam Walton would probably be bewildered by the businesses his grandchildren have chosen to pursue, but the late founder of the world's largest family fortune would likely have applauded their initiative. [More: Estate tax pretty much 'optional,'...

IRS sends second round of warnings to crypto investors

August 16, 2019

Some cryptocurrency investors are receiving a new round of letters from the Internal Revenue Service telling them that their federal tax returns don't match the information received from virtual currency exchanges, a new front in the agency's...

IFS Securities hit with $10 million trading loss: reports

August 15, 2019

A midsize broker-dealer in Atlanta is facing a potential loss of at least $10 million after its head municipal securities trader made unauthorized trades and shorted Treasury bonds, according to published reports. Keith Wakefield, the former...

Bitcoin clobbered in market sell-off

August 15, 2019

Bitcoin is quickly losing the refuge designation that some advocates bestowed on it in recent weeks as the largest cryptocurrency joins the global slide in riskier assets. Smaller rivals tumbled even further. After rallying while U.S. equities...

Volatility reignites debate about market timing

August 15, 2019

Increased stock market volatility, including the market's 3% drop on Wednesday, has put financial advisers back into a position of defending buy-and-hold investing strategies to nervous clients. "A big part of our job is convincing people they're...

Insurers pivot amid declining interest rates

August 15, 2019

Interest rates have done an about-face, and insurers are feeling the pinch. Just less than a year ago, insurance companies, financial advisers and their clients were celebrating the return of higher interest rates. More money flowed into insurers'...

SEC wins trial against former broker on insider trading charges

August 15, 2019

Jurors in Atlanta federal court have found former New Jersey broker Raymond J. Pirrello Jr. liable for insider trading in advance of three merger and acquisition transactions. [More:​ SEC bars Long Island broker for insider trading] Evidence...

Countdown to catastrophe? The yield curve and the stock market

August 14, 2019

A key portion of the U.S. Treasury yield curve has inverted, an ominous sign for the economy and the stock market. But what investors should do about it is a complicated question. Looking at 10 times when the spread between two- and 10-year...

Decision on Bitcoin ETF put off again by SEC

August 13, 2019

The Securities and Exchange Commission again delayed a decision on approving two Bitcoin exchange-traded funds, dealing another blow to those in the cryptocurrencies community holding on to the belief that a favorable decision was imminent....

Brokerage customers winning more Finra arbitration cases

August 13, 2019

The number of Finra arbitration cases has declined through the first half of the year, but customer victories have increased. Financial Industry Regulatory Authority Inc. arbitration statistics posted on the regulator's website show there were...

Ladenburg Thalmann invests in impact investing startup

August 13, 2019

Ladenburg Thalmann's latest technology investment is going to Newday Financial Technologies, a startup focused on providing millennials with low-cost impact investing strategies. Newday is an asset management firm that develops investment funds...

Helping clients manage volatility for the long run

August 12, 2019

Since last September, we've seen the S&P 500 Index reach an all-time high, weather a 20% drop, gain it all back and keep on climbing. Financial professionals are accustomed to these ups and downs, but to an investor saving for retirement, a...

Advisers may not be equipped to help clients navigate private markets

August 9, 2019

As the Securities and Exchange Commission considers easing rules surrounding investments in unregistered securities, financial advisers could find themselves as the gatekeepers between ordinary investors and the private market. In a recent letter...

Fidelity draws adviser wrath with 1.9% cash offer

August 7, 2019

As is typically the case when equity markets turn choppy, financial advisers are paying closer attention to the yields their clients are earning when they turn to the safety of cash. But for custodians and brokerage platforms that often default...

Veteran small-cap manager navigates market cycles with a basic philosophy

August 7, 2019

Over the 18 years Robert Bergson has managed the Northern Small Cap Value Fund (NOSGX), he has navigated through just about every kind of market condition, which is probably why he's able to stay so calm during the current state of the financial...

GPB adds class action lawsuit to list of woes

August 6, 2019

GPB Capital Holdings, the private placement manager already mired in investigations and lawsuits, is now facing a potential class action lawsuit from disgruntled investors seeking financial information about its funds. Filed by two investors...

How are low-volatility funds weathering the market turmoil?

August 6, 2019

The jarring start to August for stocks has presented an ideal test for increasingly popular factor-based investing strategies that are designed to help advisers customize client portfolios. A random sampling of exchange traded funds that target...

Markets plunge as trade war escalates

August 5, 2019

Financial markets buckled after China escalated the trade war with the U.S., sending American stocks careening toward the biggest drop of the year and sparking a rally in global bonds. More than $700 billion were wiped from the value of U.S....

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