Likewise, UBS' 2025 advisor compensation plan offers enhancements for advisors who connect clients with banking capabilities.

The Securities and Exchange Commission has delivered on its commitment to have firms admit guilt more frequently in the ...

Securities and Exchange Commission Chairman Gary Gensler is stepping down as head of the agency on Jan. 20 — the day ...

New York City maintains its position as the center of the U.S. securities industry, but cost pressures and shifting work patterns have eroded its share of the industry’s head count.

Last December, Kaival Patel, 55, of West New York, New Jersey, was found guilty of a single count of conspiracy to commit wire fraud and health care fraud, four counts of health care fraud, one count ...

Skechers, meanwhile, also uses AI to ensure that investors — who are increasingly using AI to read earnings reports — encounter messaging from the firm that's "consistent with the objectives of the ...

Trump has vowed to cut taxes and regulations but has yet to name his pick for chair of the SEC, according to Reuters. The president-elect said in June that he would sack Chair Gary Gensler immediately ...

Meredith Archer Webber must pay Raymond James $99,180.12, which represents the balance due on a recruiting loan issued when she joined the firm's independent channel in 2022 from Ameriprise Financial, ...

Incoming Charles Schwab Chief Executive Officer Rick Wurster extended an olive branch to the registered investment advisors on Schwab's platform in his address at the firm's Impact conference on ...

Wilson is no longer the contrarian he once was: On Monday, Goldman Sachs wrote in a note that it too sees the S&P 500 going to 6,500 by the end of next year, according to Reuters. A note issued the ...

A former Wells Fargo Advisors branch manager in California has sued the firm and her former supervisor, alleging that Wells condoned a sexist work culture he created and fired her in retaliation when ...

Morgan Stanley expanded its capabilities in the workplace space when it acquired the stock plan management firm Solium Capital in 2019 for $1.1 billion, rebranding it as Shareworks, according to the ...