SEC, FINRA Enforcement: HFT Firm Charged With Manipulating Closing Prices
In another action, FINRA slapped TD Ameritrade for a recordkeeping failure.
The Energy Investing Sector: Opportunities and Challenges
The energy sector is riding a shale-oil tailwind that should grow in strength, but there are some headwinds as well.
Advisor Prepares Pro Athletes for Life After Sports
Lee Rawiszer creates lifetime plans for incomes at risk of meteoric rises and crashes — sometimes after meeting the client for less than 15 minutes.
Shelley Bergman: Portrait of an ETF Strategist
Morgan Stanley's Shelley Bergman is a master at investing in exchange-traded funds—and a critic of many of the industry's expanding offerings.
How Far Will the Shale Boom Go?
Assessing the longer-term prospects of an energy revolution.
9 Reasons Why Alan Greenspan Is Wrong About Everything
Former Federal Reserve Chairman Alan Greenspan recently laid out nine reasons the economy stinks. Here’s why he’s wrong, according to New York Life’s John Kim.
Mexico Energy Reform Opens New Investment Possibilities in Oil, Gas and Beyond
International oil companies and foreign investors are excited by the huge step Mexico has taken to open up its energy sector to private participation.
Top Portfolio Products: Hartford Funds Launches Global Long/Short Fund
Meanwhile, Invesco introduces a fund focused on master limited partnerships.
SEC, FINRA Enforcement: Reps Sold ETFs They Didn’t Understand
In other enforcement news, the SEC charged an energy firm and a stock promoter with defrauding investors about its oil reserves.
SEC Charges 4 for Manipulating Marijuana Company Stocks
The SEC Tuesday charged four promoters for manipulating the securities of several microcap companies, including marijuana-related stocks.