UBS

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.

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

Ermotti last week outlined how the bank is seeking to win over American billionaires by boosting recruitment.

There were 53 new billionaires in the U.S. this year, and 14 of them were women.

Sergio Ermotti is under pressure to show investors how the bank can reap greater profits from a merger of its two wealth management businesses.

“This is a chance to redesign core systems, some of which go back to PaineWebber,” says Tom Naratil, president of UBS Wealth Management Americas.

Clients have filed hundreds of similar claims against UBS since 2013, with aggregate damages of $2.6 billion.

The new hires come almost a year after the two firms quit the Broker Protocol.

Wirehouses’ overzealous overhauls of compensation rubrics convey a message of instability to financial advisors.

Family offices saw a growth in returns last year fueled by soaring stock markets and private equity.

An alphabet soup of confusing terminology is hindering clients and advisors from identifying portfolio opportunities.

The regional BD has picked up 15 advisors this month alone.

The move puts the Swiss bank more in sync with practices at regional brokerages.

The new hires build on the firm’s recent recruiting successes.

The lawsuit illustrates the persistence of such accusations among the nation’s more than 600,000 securities brokers.

The bank is selling the technology behind its U.K.-based digital advice business to SigFig, a Silicon Valley startup.

The brokerage firm is holding off on making major changes while regulatory frameworks shift once again.

The case is a legacy of the fallout from Puerto Rico's bond crisis and the performance of UBS closed-end funds.

Clashes over the Labor Department's fiduciary rule have carried over into the debate on the SEC's proposed regulation.

The advisor used about $410,000 to pay back investors in Ponzi-like fashion to keep the scheme alive, the regulator says.