Practice

Aiming to build a unified experience for its members nationwide, the move follows fiduciary fallout and dissolution of its New York chapter.

The anxiety is real — and so are the expenses — but the situation might not be as bad as some imagine.

The case involves allegations of improper use of the 83-year-old investment bank’s trademark and name.

The cases are among a series of such obstacles UBS has faced since the start of the financial crisis, including a $1.5 billion fine in 2012 for rigging the Libor benchmark.

Both already use the fintech company’s technology to market their products to advisors.

The regulator is living up to its promise to overhaul exams and engage more — and one potential rule in the works would be “monumental," according to the IBD.

Older couples should determine whether they are physically ready for the task, as moving can be stressful for people of advanced age.

The regulator's investor advisory committee approved a set of recommendations for commission to clarify "best interest" advice for advisors and brokers.

New COO is pitching firm’s name, platform — and capital.

The business could fetch as much as $1 billion, sources say.