UBS Wealth Management

Alongside other firms recently disclosing major regulatory cases, the Swiss bank is cooperating with an investigation by the SEC and CFTC.

Some of the wirehouse's advisors marketed and sold a complex options trading vehicle without adequately understanding its risks, according to the regulator.

UBS Head of Sports and Entertainment Wale Ogunleye is sharing best practices for advisors who assist stars in managing their requests for financial support.

After agreeing to purchase Wealthfront during the first quarter, CEO Ralph Hamers says the firm is eyeing more opportunities in the U.S.

The $2.6 billion Miami firm is the largest independent advisor yet to take advantage of the U.S. territory’s incentives.

Two studies point to significant barriers, including jargon and financial advisors who don’t take them seriously.

Wealth held by women in Asia (not including Japan) will surge to more than $7 trillion by 2025.

A new high in loan volume and a notable influx of advisory AUM drove the wirehouse’s business to more than half a billion dollars in second-quarter net income.

The wirehouse is the latest firm to have its financial advisors called out publicly by the regulator for disregarding warnings about holding the ETNs for a long time.

FINRA arbitrators ordered the wealth manager and closed-end funds manager to pay damages as it resolves outstanding claims stemming from the island’s fiscal crisis.