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As Fed battles inflation, fixed-income investing regains popularity, purpose
Experts advise taking advantage of higher bond yields while bracing clients for the near certainty of a recession.
Credit Suisse fears fail to rattle US wealth management market, for now
The Swiss bank pulled out of the US financial advisory business in 2015 when it shuttered its private banking unit here.
ARK puts crypto strategies on Eaglebrook’s SMA platform
The cryptocurrency and cryptoasset strategies will offer direct ownership, low minimums, and portfolio reporting integration.
SEC fines Kim Kardashian $1.26 million for endorsing crypto token on Instagram
The securities watchdog said she broke US rules by not disclosing she was paid for the promotion.
Finra expels New York-based NYPPEX for securities fraud
The firm's former CEO, Laurence Allen, is barred and its current CEO, Michael Schunk, is suspended.
BlackRock plans crypto ETF that tracks firms with exposure to metaverse
The fund might include firms that have products or services tied to virtual platforms, social media, gaming, digital assets and augmented reality.
Retail investors grow weary of cryptocurrency as institutional interest grows
Only 21% of Americans feel comfortable investing in cryptocurrencies, down from 35% in 2021.
Former Northern Trust exec Shundrawn Thomas launches private equity firm
Thomas is partnering with former Bank of America credit specialist Anthony Hoye to provide financing to minority and women-led businesses.
Cathie Wood launches new venture fund on robo-adviser Titan Invest
The fund requires a $500 minimum investment and charges a management fee of 2.75%, with a total expense ratio estimated at 4.22%.
Despite a $5.2M YES arb loss, its biggest yet, UBS may keep fighting
It's been win some, lose some for UBS as it defends its complex options strategy, but lately investors seem to be prevailing more.
Finra investigates David Lerner’s son over sales of in-house funds
Daniel Lerner, who's executive vice president of investor services at David Lerner Associates, faces potential disciplinary action over sales of energy funds.
Market pullback, recession threat send more financial advisers to alternatives
In an RIA Lab discussion of what investors should expect from alternative investments, panelists note that fees are high and liquidity is limited.
Judge orders SEC to settle with alleged Philly loan scheme: Report
Last week, Judge Rodolfo Ruiz gave the SEC 10 days to negotiate a settlement with Par Funding founders Joseph LaForte and his wife, Lisa McElhone.
As Fed battles inflation, financial advisers brace for recession fallout
Advisers are adjusting clients' portfolios to weather the recession that could result from the central bank's response to spiking prices.
Bitcoin hits 3-month low as sentiment takes knock from wave of monetary tightening
Investors are bracing for volatility from the jumbo Federal Reserve interest-rate hike expected Wednesday to fight price pressures.
Single-stock ETFs take the field but many yellow flags are falling
Regulators, analysts and financial advisers worry the easy access to enhanced performance will hurt unsophisticated investors.
Advisers to fill portfolio chinks with fixed income and alts
While advisers may not expect anywhere near the market growth over the next year that investors enjoyed in 2021, many advisers believe they’ve already seen the bottom this year.
Fintech Bytes: Cetera using Broadridge’s new tech, Orion reorganizes
A roundup of the week's fintech news includes Cetera's adoption of Broadridge's new digital communications tool, Orion's reorganization and Morningstar's attempt to make sustainable investing more engaging.
Finra cuffs another broker-dealer over GPB sales
The actions outlined in Finra settlement with Sanctuary predate Sanctuary’s acquisition of David A. Noyes, a company spokesperson notes.
As rate hikes slow mortgage refinancing, ETF rides to a 27% gain since January
The FolioBeyond Rising Rates ETF, which launched in October, is gaining appeal for advisers as it nears the $100 million mark.
