Updated Sunday, April 20, 2014 as of 7:30 PM ET
SEC Charges RIA With Kickback Scheme
Three advisors at a San Diego-based RIA -- including one who apparently once worked for the FBI -- are now facing SEC charges for allegedly paying themselves concealed revenue sharing fees from investments they recommended to clients.
The SEC's Enforcement Division said Tuesday that Total Wealth Management, along with firm owner and CEO Jacob Cooper, entered into "undisclosed revenue-sharing agreements through which they paid themselves kickbacks or so-called 'revenue sharing fees.' "   more »
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A New York landlord led by Nicholas Schorsch is set to become the first publicly traded real estate company focused solely on the city when its shares are listed on the New York Stock Exchange today. more »
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Interest in alternatives is rising among investors as they look to manage volatility in their portfolios - and advisor education is critical to meeting that tidal wave of demand. more »
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Financial advisors' jobs are among those at risk as computerization threatens the U.S. workforce. more »
Investors are having a change of heart about U.S. consumer stocks, a sign their optimism about Americans' discretionary spending remains intact even after a January selloff. more »
The focus on dual registrants grows out of concern that the different compensation structures of the two business lines can create conflicts of interest and potentially harm investors, according to an SEC director. more »
Motif Investing has launched a platform for advisors to more quickly and efficiently rebalance client portfolios. The firm's founder Hardeep Walia talks about why this tool may help advisors connect with younger generations and succeed with intergenerational wealth transfers. more »
Driven by a continued steep decline in refundings, long-term municipal bond issuance remained paltry, with the lowest February volume since 2000. more »
The number of investment products focused on environmental, social and governance factors has risen steadily in the last seven years more »
Managed futures offer a less risky way to give clients commodities exposure. more »
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