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Morgan Stanley has bolstered its New York office with a top billing advisor from J.P. Morgan Securities, the boutique brokerage branch of JPMorgan Chase.

Bloomberg -- UBS AG, Switzerland’s largest bank, will pay $4.58 million to settle an investigation by regulators into whether its sales assistants were licensed in states where they did business.

OppenheimerFunds today announced the extension of its senior loan investing franchise with the launch of the Oppenheimer Senior Floating Rate Plus Fund (SFR PLUS). This actively-managed fund offers investors access to the same experienced team as the firm's original Senior Floating Rate Fund (SFR).

Best known as the first woman to own a seat on the New York Stock Exchange and the first to head one of its member firms, Muriel F. “Mickie” Siebert died from cancer on August 24 at the age of 80.

UBS will pay $4.58 million to settle an investigation by regulators into whether its sales assistants were licensed in states where they did business.

Time and energy are an advisor's two scarcest resources. Adding performance goals helps allocate these resources and transforms a business plan into a living document that can meaningfully contribute to greater success.

Retirement: It's the main goal of most investing and the biggest worry of most clients. As a sneak peek to our upcoming September issue on the topic, we list the top 10 target-date funds for 40-year-old investors.

M&T Bank is expected to complete its purchase of Hudson City Bancorp despite unexpected regulatory issues. But an analyst had fun speculating about who might step in as the buyer if that deal collapsed.

The majority of American workers accept responsibility for financing their own retirement and are relying primarily on their 401(k) to get them there, but many lack the confidence to effectively manage their retirement savings.

As the U.S. bond market suffers its worst rout since 2009, the gauge that historically signals more pain for fixed-income investors is instead suggesting yields are near their peak.