The Swiss bank has been trying to get a better foothold in the country: it currently only has $2 trillion in client assets in ...

A former Securities and Exchange Commission enforcement official believes major changes are coming at the commission under ...

Pre-dispute arbitration clauses are a common component of retail customer agreements used by registered investment advisors.

A financial advisor in South Carolina who previously worked at Merrill Lynch and Morgan Stanley faces fraud charges for ...

Kennedy agreed to settle charges of violating anti-fraud provisions and Reg BI by paying disgorgement of $958,134, ...

Effective Jan. 1, the four regional directors will be Chris DiMuria in the Northeast, Julie Fox in the Southeast, Lauren ...

The wealth business remains a key focus for Citi: Steered by Merrill Lynch veteran Andy Sieg, the unit's returns are beating ...

Bell was indicted by a federal grand jury on eight counts of wire fraud, five counts of mail fraud, and five counts of money ...

The SEC's two other Democratic commissioners, Chair Gary Gensler and Jaime Lizárraga, plan to leave in January. The only ...

Morgan Stanley agreed to a censure, a cease-and-desist order and to pay a fine of $15 million to resolve the SEC's ...

Pirker also said that UBS lacks the technology infrastructure to accommodate the needs of lower-asset clients. The firm in ...

Wells Fargo Chief Executive Officer Charlie Scharf is confident his firm is doing what's required to get past a litany of ...