UBS Wealth Management has adjusted its advisor compensation plan with an eye toward improving profitability by rewarding advisors who boost productivity and generate referrals to other lines of ...

Gensler, who was appointed by President Joe Biden and began his term in April 2021, had suggested just last week that he intended to step down when Trump takes office. Trump had vowed to fire Gensler ...

Meredith Archer Webber must pay Raymond James $99,180.12, which represents the balance due on a recruiting loan issued when she joined the firm's independent channel in 2022 from Ameriprise Financial, ...

Incoming Charles Schwab Chief Executive Officer Rick Wurster extended an olive branch to the registered investment advisors on Schwab's platform in his address at the firm's Impact conference on ...

Skechers, meanwhile, also uses AI to ensure that investors — who are increasingly using AI to read earnings reports — encounter messaging from the firm that's "consistent with the objectives of the ...

Last December, Kaival Patel, 55, of West New York, New Jersey, was found guilty of a single count of conspiracy to commit wire fraud and health care fraud, four counts of health care fraud, one count ...

The Guided Wealth Portfolios program is available through LPL's web-based portal, which is intended to be accessed by clients online. Prudential advisors will be able to access both Guided Wealth and ...

Wilson is no longer the contrarian he once was: On Monday, Goldman Sachs wrote in a note that it too sees the S&P 500 going to 6,500 by the end of next year, according to Reuters. A note issued the ...

Senator Elizabeth Warren is urging the Fed to reject Wells' reported appeal to lift the $1.95 trillion asset cap imposed following the 2016 fake-account scandal, according to Reuters.

Edward Jones ' expansion of its footprint in New York with a new Manhattan office is a key part of the firm's strategy to target underserved clients in the region despite steep competition, according ...

Morgan Stanley expanded its capabilities in the workplace space when it acquired the stock plan management firm Solium Capital in 2019 for $1.1 billion, rebranding it as Shareworks, according to the ...

The deal, which will further engrain Robinhood into traditional wealth management, is valued at around $300 million. Zero-commission pioneer Robinhood Markets is taking a big swing at the registered ...