UBS

Two panels of experts explained why family relationships, financial literacy and trust are so important to the coveted niche of clients.

The Swiss bank's cancelled $1.4 billion acquisition of the robo-advisor means extra money for shareholders.

The wirehouse fabricated the terms of its recruiting bonus loan and client churning allegations against Anil Bhandari, he said in his first interview on the case.

Lower advisory assets and regulatory matters combined to offset the wirehouse’s rising interest revenue in the second quarter.

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

The move could set him up as an eventual successor to CEO Ralph Hamers.

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.

Critics of FINRA’s current system for removing client complaints from brokers’ records are seeking to vacate an arbitration award.

The wirehouses respectively ran afoul of requirements related to two industry recordkeeping systems over roughly three years, according to FINRA.