Barclays

Barclays to retire $1.2B of ETNs

The shake up could strand investors with hard-to-trade securities.

ETNs April 11

ETNs April 11
Cash-stuffed envelopes integral to broker’s $1M kickback scheme: SEC

To get in on hot IPOs, a client delivered cash payments to the broker at bars and restaurants, the regulator alleges.

Fraud Andrew Welsch December 20, 2017

Fraud Andrew Welsch December 20, 2017
Facing $1M clawback, advisor finally gets day in court — and wins

A federal judge ruled that the ex-Barclays advisor had been unfairly forced into FINRA arbitration, where a panel had ruled against him.

Arbitration Andrew Welsch March 27, 2017

Arbitration Andrew Welsch March 27, 2017
Mutual funds see massive performance variations following Trump's win

54% of mutual funds underperformed their benchmarks since the election, researchers find.

Mutual funds Julie Verhage November 28, 2016

Mutual funds Julie Verhage November 28, 2016
An election guide to the markets for advisors

Here's what to watch for just before the counting of ballots begins.

Election 2016 Phil Kuntz November 4, 2016

Election 2016 Phil Kuntz November 4, 2016