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 ...

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.

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 ...

Financial advisors who are affiliated with a firm through an employee channel and are bothered by pesky business expenses either need to work harder or move to a supported-independence model, ...

Several large language models currently on the market are now capable of passing the rigorous Chartered Financial Analyst Level III exam, according to a new research paper.

Royal Bank of Canada is considering expansion in the United States by selectively acquiring wealth management firms, according to Bloomberg.

Raymond James announced that it has added another financial advisor from Commonwealth Financial Network, where he had $126 million in client assets. Osaic announced that it has lured a financial ...

Raymond James announced that it has added another financial advisor from Commonwealth Financial Network, where he had $126 million in client assets. Osaic announced that it has lured a financial ...

On the quantitative side, mathematical models are used to assess stocks, applying an objective, numbers-based approach to the same characteristics. Typically this approach allows you to evaluate a ...

The Swiss government has suggested that UBS can incrementally implement the proposed full capitalization of its foreign subsidiaries, a move the bank considers too restrictive, according to news ...