Organization Root Tag

“Just like equities, last year was a volatile year and the fourth quarter of 2018 did a number on the returns of risk assets,” an expert says.

One tipster will get $37 million, the third-biggest ever for the agency's whistleblower program.

In the last five years, the universe of sustainable funds has increased almost 70% to $760 billion in European and U.S. mutual funds and ETFs.

The regulator also faulted Merrill’s supervisory policies and procedures.

The regulator is going back to some of the firms that voluntarily settled, requesting information on revenue sharing.

The case could bring unwelcome scrutiny of Wall Street's compensation and employment practices.

More than 650 advisors considering a career change visited the firm's headquarters during its last fiscal year.

The drop in wealth was equivalent to the GDP of Italy.

The Treasury and IRS are lowering the withholding underpayment threshold to 80%.

A higher standard deduction makes itemizing deductions less valuable.

While a broad-market stock ETF generates fees of as little as 20 cents for every $1,000 invested, AI products range from $1.80 to $8.

The Massachusetts Democrat has repeatedly called for Tim Sloan’s ouster due to the bank's scandals that first came to light in 2016.

The independent broker-dealer accidentally published a list of credits of its most lucrative advisors.

The purchase will add to one of the asset manager’s key businesses, Aladdin.

The bank said Tim Sloan has the full support of its board following a report that directors had reached out to Goldman Sachs’ former CFO.

Chuck Person persuaded student-athletes to form illegal business relationships with at least one financial advisor.

Strategic buyers have less cash but more flexibility, experts say.

Jon Dayton left Merrill Lynch where he had worked for 19 years.

The deal will give Janney greater access to the community banking sector.

Like the industry it oversees, the regulator has rising technology and compensation costs.