A former Securities America broker in Seattle has been sentenced to more than two-and-a-half years in prison after he pleaded guilty to fleecing one of his clients to the tune of more than $500,000.

UBS and the Swiss government, which are publicly at odds over proposed new capital requirements, are signaling in private that they may be open to a compromise acceptable to both parties, sources told ...

Ahead of a scheduled hearing for a temporary restraining order on Tuesday, the defendants in Merrill Lynch 's recently filed raiding lawsuit have presented their counterpunches to Merrill's initial ...

Securities and Exchange Commission Chair Paul Atkins has signaled that he's staunchly opposed to merging the commission with the Commodity Futures Trading Commission, as has been suggested in the past ...

Raymond James says that it has lured a financial advisor team with $411 million in client assets from Commonwealth Financial Network. Wells Fargo Advisors has snapped up financial advisors from rivals ...