Dentist Turned Advisor Fined Over Fraudulent Offerings
By Jeff BermanThe advisor has agreed to pay $600,000 to settle allegations he engaged in three separate securities frauds, the SEC says.
June 14, 2021
DFA Launches 4 Active Equity ETFs Converted From Mutual FundsMeanwhile, Invesco launches two tech-focused ETFs that will have no fees until December.
June 14, 2021
Invesco Fires Next Shot in Fee War With Funds Charging Nothing (for Now)Two new ETFs have management costs waived until mid-December.
June 11, 2021
Roth IRA Conversions: When Is the Best Time?While now is a good time for many clients to make Roth conversions, individual circumstances are paramount.
June 11, 2021
Is Cold Calling Dead?"Dead and buried," recruiter Danny Sarch says. Others give cold calling a place beside more modern tactics.
June 11, 2021
5 Life and Retirement Traps for Cross-Border ClientsTerry Ritchie says cross-border clients need skilled advisors.
June 11, 2021
Stock Market Leadership Shifts to Europe: Schwab's KleintopYear-to-date through Tuesday, the MSCI euro index gained 17.5% versus 13.6% for the S&P 500.
June 11, 2021
CBO Estate and Gift Tax Info You (and D.C. Insiders) Should KnowThe agency has prepared a guide for lawmakers and their aides. Here's what it says.