Investment Advisers

Dynasty trusts growing in popularity among super-richRestricted Content

September 17, 2011
Francesca Jarosz
A tool allowing the super-wealthy to pass assets from one generation to the next without paying taxes is resurging among Hoosier investors.
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LEADING QUESTIONS: Investment guru on calming clients

September 2, 2011
Mason King
LQ_Bosway_watchvideoWhat does the CEO of City Securities Corp. say when shell-shocked investors want to sell? Does the recent market slide point to a return of 2008? Where are the opportunities? Michael Bosway has answers.
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State makes $31M settlement with securities firm

August 24, 2011
Raymond James has agreed to return $31.2 million to Indiana investors by repurchasing some auction rate securities. The firm also will pay fines totaling $63,000.
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Probe: Investment adviser Hauke masked huge loss

August 20, 2011
Greg Andrews
Fishers investment manager Keenan Hauke suffered massive losses in his hedge fund seven years ago. Then, rather than fess up, he generated fake account statements for clients that showed money they didn’t really have and returns they hadn’t earned, state investigators allege.
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SKARBECK: Market volatility should be seen as an opportunityRestricted Content

August 13, 2011
Ken Skarbeck
To a long-term, value-oriented investor, volatility should be viewed as opportunity. The crazy prices that are occasionally offered up by a roller-coaster market in periods of uncertainty allow for the purchase of undervalued securities.
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Local stocks pummeled in global sell-off

August 8, 2011
 IBJ Staff and Associated Press
Stock prices of the dozen largest public companies in the Indianapolis area all tumbled Monday morning as a Standard & Poor’s downgrade of U.S. debt spooked investors worldwide.
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KIM: Managers with skin in game most likely to perform wellRestricted Content

August 6, 2011
It seems perfectly logical that you want to invest with a manager or fund where the manager has a significant amount invested alongside you.
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Receiver to manage assets of Fishers money manager

June 20, 2011
Cory Schouten
A receiver will take control of assets held by Samex Capital CEO Keenan R. Hauke, a prominent Fishers money manager accused by state officials of violating securities laws.
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SKARBECK: Simple investing strategies no match for 'infrastructure'Restricted Content

May 21, 2011
Ken Skarbeck
What some call the ”institutional imperative” is deeply engrained, and returning to a simpler investment strategy would put a large part of the infrastructure out of business.
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State revokes Fishers money manager's license

May 6, 2011
Scott Olson
The Indiana Secretary of State’s Office has revoked the financial advising license of Fishers money manager Keenan Hauke, who is being investigated by the office over financial irregularities involving a hedge fund he operates.
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Adviser reaped unusual fee from Health FoundationRestricted Content

April 30, 2011
Kathleen McLaughlin
Throughout a two-decade relationship with client Health Foundation of Greater Indianapolis, money manager Columbus Circle Investors paid a finder’s fee to the foundation’s consultant, Cooke Financial Group in Indianapolis.
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Fishers money manager granted continuance

April 25, 2011
A Hamilton County judge agreed to delay a court hearing scheduled for Monday morning involving money manager Keenan Hauke, who is being investigated for financial irregularities involving a hedge fund he operates.
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Judge freezes assets of Fishers money manager

April 15, 2011
 IBJ Staff
A Hamilton County judge has ordered a temporary asset freeze against prominent Fishers money manager Keenan Hauke, who is being investigated by the Indiana Secretary of State’s Office over financial irregularities involving a hedge fund he operates.
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Investment firm buys former bank branch

January 22, 2011
 IBJ Staff
C.H. Douglas & Gray will relocate to 71st & College building previously owned by PNC Bank.
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Money flowing to international marketsRestricted Content

January 1, 2011
Sam Brattain
Booming growth, rising middle classes are attracting investors.
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Sound Mind launches its third mutual fund

December 23, 2010
Francesca Jarosz
The Securities and Exchange Commission on Thursday approved the Sound Mind Balanced Fund, a Columbus, Ind.-based mutual fund that aims to cater to conservative investors.
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SKARBECK: Brokerage soft costs under tighter scrutinyRestricted Content

December 11, 2010
Ken Skarbeck
Many investment firms, hedge funds and mutual funds participate in this less-than-desirable industry practice.
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Indianapolis investment adviser Gene Tanner in it for the long haulRestricted Content

November 20, 2010
Norm Heikens
At 78, L. Gene Tanner is one of the longest-serving investment advisers working in Indianapolis. Tanner spoke with IBJ's Norm Heikens about why he shifted to City Securities, his brush with convicted Ponzi scheme operator Bernard Madoff, and how his investment strategy has changed.
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Gold is booming, but for how long?Restricted Content

November 20, 2010
Marc D. Allan
Experts are split over whether runup in precious metal is a classic bubble.
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PRINCE: Why iPad could save investment firms money

November 20, 2010
Douglas Prince
The device is projected to save Prince Group office at Stifel Nicolaus & Co. more than $3,000 in paper alone.
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SKARBECK: Changes on horizon for mutual fund fees

October 30, 2010
Ken Skarbeck
The U.S. Securities and Exchange Commission is proposing significant changes to the structure of the annual marketing or distribution fee on mutual funds known as a 12(b)-1 fee.
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Secretary of state files complaint against teachers' fund broker

October 27, 2010
Kathleen McLaughlin
David Karandos, a broker who advised the Indiana State Teachers Association Insurance Trust before it collapsed in 2009, is facing an administrative complaint from the Indiana Securities Division, which alleges 13 violations for unethical, dishonest and deceptive practices.
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LEADING QUESTIONS: CPA Sponsel takes calculated risk

October 13, 2010
Mason King
Sponsel WatchVideoWith a family history rich with entrepreneurs, Tom Sponsel decided late in his accounting career to strike out on his own.
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City Securities snares veteran stockbroker from competitor

October 11, 2010
Scott Olson
L. Gene Tanner has left PNC Investments to join City Securities Corp. The veteran stockbroker who began his career with the former Raffensperger Hughes firm in 1958 said he has returned to familiar territory.
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Business school expands investment theme for studentsRestricted Content

September 18, 2010
Norm Heikens
Grant will give Indiana University undergrads a shot at managing real money.
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  1. How much you wanna bet, that 70% of the jobs created there (after construction) are minimum wage? And Harvey is correct, the vast majority of residents in this project will drive to their jobs, and to think otherwise, is like Harvey says, a pipe dream. Someone working at a restaurant or retail store will not be able to afford living there. What ever happened to people who wanted to build buildings, paying for it themselves? Not a fan of these tax deals.

  2. Uh, no GeorgeP. The project is supposed to bring on 1,000 jobs and those people along with the people that will be living in the new residential will be driving to their jobs. The walkable stuff is a pipe dream. Besides, walkable is defined as having all daily necessities within 1/2 mile. That's not the case here. Never will be.

  3. Brad is on to something there. The merger of the Formula E and IndyCar Series would give IndyCar access to International markets and Formula E access the Indianapolis 500, not to mention some other events in the USA. Maybe after 2016 but before the new Dallara is rolled out for 2018. This give IndyCar two more seasons to run the DW12 and Formula E to get charged up, pun intended. Then shock the racing world, pun intended, but making the 101st Indianapolis 500 a stellar, groundbreaking event: The first all-electric Indy 500, and use that platform to promote the future of the sport.

  4. No, HarveyF, the exact opposite. Greater density and closeness to retail and everyday necessities reduces traffic. When one has to drive miles for necessities, all those cars are on the roads for many miles. When reasonable density is built, low rise in this case, in the middle of a thriving retail area, one has to drive far less, actually reducing the number of cars on the road.

  5. The Indy Star announced today the appointment of a new Beverage Reporter! So instead of insightful reports on Indy pro sports and Indiana college teams, you now get to read stories about the 432nd new brewery open or some obscure Hoosier winery winning a county fair blue ribbon. Yep, that's the coverage we Star readers crave. Not.

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