UBS Group is on the hook for more than half a billion dollars over extensive tax evasion facilitated by its Swiss rival Credit Suisse before UBS acquired it in 2023.

Americana, a registered investment advisory firm that taps Dynasty for back-office services, received a strategic investment from private equity firm Lovell Minnick Partners last October. The RIA ...

Raymond James announced a new equity option for its independent financial advisors in which the firm makes a minority investment in a participating advisor's practice.

Raymond James is providing its advisor force access to Zoom 's artificial intelligence meeting notetaker.

In a statement issued Monday, Finra said that "several recent statements published in news media mischaracterize" its proposal. The industry watchdog said statements suggesting that there were new ...

WealthVision's offerings are new additions to the existing ClientWorks suite and are available to advisors across LPL's affiliation channels, including the institutional channel, an LPL spokesperson ...

There is no conflict or breach of fiduciary duty unless the client can prove that the advisor or broker asserted undue influence on the customer, according to attorney Jenice Malecki, whose New ...

Jenni Yoon Jeong Lee targeted members of the Korean-American community, including her own family, the SEC alleges. The Securities and Exchange Commission has charged a Washington state woman with ...

It is unclear who is the third member of the DOGE team at the SEC. The commission and the White House gave the same statements to Reuters about DOGE and the new SEC chair as they have in the past, ...

The team, which operated as the Timpe Wealth Management Group during its stint at Stifel, Nicolaus & Co., generates more than $1 million in annual production, according to a source familiar with the ...

The Biden-era regulation was designed in part to replace rules implemented during Trump's first administration that had made it easier for firms to designate workers as independent contractors. The ...

The additions "showcased [Fidelity's] ongoing commitment to innovation by responding to customers' evolving needs," and "continue to drive engagement from our customers, whether that is in person, on ...