Enforcement: Nationwide to Pay $140M in 13-Year ERISA Settlement
In another action, the SEC charged the owner of a home restoration business with securities fraud for selling unsecured notes to investors.
Oil Price Plunge Creates New Winners, Losers
Market shifts amid energy upheaval.
Private Equity Pros Bullish on 2015
Technology, small caps and Asia hold most promise in coming year, a new PEGCC poll finds.
Netherlands' Woes Stack Up
The sixth largest economy in the eurozone has had its share of woes, though it hasn't fared as poorly as some of its neighbors.
Top 9 Investor Threats for 2015: NASAA
State regulators are seeing classic threats to investors “morph into new or altered dangers, many fueled by the Internet,” says NASAA’s president.
Low Oil Prices Unlikely to Hurt Some Energy Investments
U.S. energy renaissance lets investors reap tax breaks while avoiding commodity market swings like those engendered by Saudi Arabia oil price cut.
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.