The Financial Industry Regulatory Authority reviewed enforcement case trends at its annual conference in Washington, D.C. this week. Here are 25 top cases from its files.
Repeat "winners": UBS, Credit Suisse, Merrill Lynch, Citi, Wells Fargo.
Swiss banking giant UBS Group received federal approval from the Office of the Comptroller of the Currency to convert its $1.6 trillion-asset UBS Bank USA from a Utah-chartered industrial bank to a national charter.
Women often feel talked down to when it comes to financial matters. Advisors with experience serving women clients say the industry has a lot of work to do to change this.
LPL's board proposed a huge boost to CEO Rich Steinmeier's compensation package following a year defined by the firm's acquisition of Commonwealth Financial Network.
More than 1.2 million taxpayers only have until April 15 to claim a total of approximately $1.2 billion in refunds for tax year 2022.
Middle- and lower-income retirees face a growing gap between income and long-term care expenses, forcing advisors to rethink planning strategies.
The unit will now be renamed Threadline Wealth, backed by investment from the Cynosure Group, and have $5.8 billion in client assets under management
