UBS plans to conduct two rounds of layoffs, the first one starting next month, as it goes into the final scheduled year of the integration of its failed rival Credit Suisse, people familiar with the ...

The Securities and Exchange Commission 's Office of the Investor Advocate — an independent office tasked by Congress to help retail investors — took aim in its most recent report at digital payments ...

The Financial Industry Regulatory Authority has accused Spartan Capital Securities, its senior staff and dozens of its brokers of generating millions of dollars in revenue at the cost of its customers ...

Wells Fargo Advisors says it has added four financial advisors who oversee a total of $687 million in assets. Rockefeller Capital Management 's wealth management unit has lured more financial advisors ...

Which Firms Saw 2025 Coming?

Wells' FiNet Touts New FA Affiliates ...