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 ...

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

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

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

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

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

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

Following her departure, Ellevest will be run by co-CEOs Sylvia Kwan — "my partner since the first days," Krawcheck wrote — ...

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