Investments

  • Coming Out – As a Bear! Coming Out – As a Bear!

    New concerns about traditional asset-allocations

    by Axel Merk

    Increasingly concerned about the markets, I’ve taken more aggressive action than in 2007, the last time I soured on the equity markets. Let me explain why and what I’m doing to try to profit from what may lie ahead. read more
  • Stocks End Week Up; Post Gains for July Stocks End Week Up; Post Gains for July

    Amid volatility, from soft-data to a threatening Grexit, markets chugged along

    Weekly market view from LMK Wealth Management

    Stocks snapped their losing streak and regained steam last week despite some soft data, posting weekly and monthly gains. For the week, the S&P 500 gained 1.16%, the Dow rose 0.69%, and the NASDAQ grew 0.78%. read more
  • FINRA Fines Aegis Capital Corp. $950,000 FINRA Fines Aegis Capital Corp. $950,000

     For Sales of Unregistered Penny Stocks and AML Violations;
    Two Chief Compliance Officers Fined and Suspended

    The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Aegis Capital Corp. $950,000 for improperly selling unregistered penny stocks and for related supervisory failures, and for failing to implement anti-money laundering (AML) policies and procedures. read more
  • Americans Trust Lawyers and Uber Drivers More Than Financial Brokers Americans Trust Lawyers and Uber Drivers More Than Financial Brokers

    Personal Capital Survey Highlights Need for Fiduciary Standard

    Americans may not understand the phrase, "fiduciary standard," but they would prefer their brokers adhered to it, according to a new Personal Capital survey of nearly 1,400 American consumers. read more
  • Chugging Along Chugging Along

    Amid all the Geo-Drama, U.S economy continues a robust rebound

    by John Osterweis and Matt Berler

    Sitting down to write this quarter’s Outlook we feel a bit sheepish. Despite all the headlines and drama around the world (e.g., Greece, Mid-East turmoil, China stock market bubble), not much has changed in our outlook for the U.S. economy or the U.S. financial markets. read more
  • Markets Drop on Global Growth Worries Markets Drop on Global Growth Worries

    Follow the gold... and copper, and silver

    Weekly market view from LMK Wealth Management

    Stocks were unable to maintain the momentum and gave up ground in another roller coaster week. Though earnings week marched onward, investors seemed more concerned about global growth and falling commodity prices. read more
  • Now In Third Decade, RIAs Achieving Record Growth and Profitability Now In Third Decade, RIAs Achieving Record Growth and Profitability

    A strategy of client acquisition, increasing operational efficiency and managing talent

    As many independent registered investment advisor (RIA) firms surpass the 20 years-in-business mark, their revenue and profitability have achieved all-time highs according to results from Charles Schwab’s 2015 RIA Benchmarking Study. read more
  • What’s Your Total Shareholder Return? What’s Your Total Shareholder Return?

    Even Companies Facing Strong Economic Headwinds Can Deliver Superior Shareholder Value

    The world's top value creators are often the beneficiaries of key structural advantages or economic tailwinds. But even companies that don't enjoy such advantages can deliver superior total shareholder return (TSR) relative to their peers, according to a new report by The Boston Consulting Group (BCG). read more
  • Private Equity Remains Largely Beyond the Reach of Dodd-Frank Private Equity Remains Largely Beyond the Reach of Dodd-Frank

    Still Lackin Transparency

    by Timothy Bernstein, Analyst, NewOak

    Quietly released to the public this month was a report published by the Management Funds Association (MFA) on the five-year impact of the Dodd-Frank Wall Street Reform and Consumer Protection Act on the alternative investment industry. read more
  • Barclays and Elkhorn Capital Group, LLC, Announce Strategic Partnership Barclays and Elkhorn Capital Group, LLC, Announce Strategic Partnership

    Combining cutting-edge investment strategies and expands product offering capabilities

    Barclays today announced a strategic partnership with Illinois-based investment firm Elkhorn Capital Group. The partnership is designed to extend Barclays product availability by bringing together its track record in creating unique investment concepts, with Elkhorn’s independent product expertise. read more
  • Money and the Modern Family Money and the Modern Family

    Changing Dynamics surround blended, same-sex and multi-generational families

    UBS Wealth Management Americas (WMA) today released its quarterly UBS Investor Watch report, "Beyond the Picket Fence," revealing that among high-net-worth investors, “modern” families (34%) – including blended, same-sex and multi-generational families – are nearly as common as “traditional” families1 (35%). read more
  • The Regulatory-Driven Liquidity Crunch The Regulatory-Driven Liquidity Crunch

    The growing disconnect between regulators and market participants

    by James Parascandola, NewOak

    In its semi-annual monetary report to Congress, the Federal Reserve Board said July 15 that market metrics, including bid-ask spreads and bid sizes, indicate market commentary around impaired liquidity in the bond market is unfounded. read more
  • IRI Proposes Changes to the DOL’s Fiduciary Rule IRI Proposes Changes to the DOL’s Fiduciary Rule

    Proposal Would Limit Consumer Choice by Restricting Access to Annuities and Depriving Savers of Retirement Planning Advice

    The Insured Retirement Institute (IRI) today submitted a comment letter to the Department of Labor (DOL) regarding the DOL’s proposed fiduciary rule. read more