A Houston-based registered investment advisory firm and two of its financial advisors are on the hook for millions of dollars over allegations that they caused a customer to miss out on huge gains in ...

Though most wealthy investors prefer fee-based financial planning to a commission-based approach or a no-fee platform, wealth management firms should still ensure they can meet the needs of investors ...

The Securities and Exchange Commission 's Investor Advisory Committee on Thursday voted to recommend new rules regarding the regulation of pre-dispute arbitration clauses used by registered investment ...

Michael Liersch, head of enterprise advice and planning at Wells Fargo, has left the firm, a spokesperson for the bank confirmed to Financial Advisor IQ on Wednesday.

UBS has been ordered to pay $1 million to a financial advisor the firm fired months after he executed almost $500,000 in unauthorized trades in a customer's account.

New restrictions expected to be proposed in Switzerland this week may undermine the efforts of Swiss-based UBS to expand its footprint in the United States, according to news reports.

Marianne Lake, J.P. Morgan's head of Consumer & Community Banking, has now been tasked with also overseeing the international expansion of the firm's consumer business in what appears to be a move ...

Merrill Lynch has poached a veteran UBS market executive in New Jersey. An experienced Merrill Lynch financial advisor has jumped ship for Perigon Wealth Management. A financial advisor who had been ...

Merrill Lynch has poached a veteran UBS market executive in New Jersey. An experienced Merrill Lynch financial advisor has jumped ship for Perigon Wealth Management. A financial advisor who had been ...

Merrill Lynch has poached a veteran UBS market executive in New Jersey. An experienced Merrill Lynch financial advisor has jumped ship for Perigon Wealth Management. A financial advisor who had been ...

Wells Fargo has cleared the last hurdle imposed on it by regulators over the past decade, largely in connection with the firm's infamous bogus accounts scandal.

The registered investment advisory space has grown "tremendously" over the past quarter of a century, evolving to better serve clients and reach new ones, according to an annual snapshot report ...