Person Root Tag

“Everything’s on the table for consideration,” the bank's chief financial officer told investors. “He’s certainly not beholden to decisions that we made previously.”

“Wells Fargo does not appear close to putting its Washington troubles behind it,” Cowen analyst Jaret Seiberg wrote in a note.

Holders of Series 7 licenses, "knowledgeable" fund employees and Native American tribes would become eligible to make riskier investments in private markets.

From regulations to diversity and inclusion, these leaders are set to make an impact on wealth management.

Jay Clayton talked up the commission's latest enforcement efforts and defended Reg BI before skeptical lawmakers.

Jeff Smith's dismissal was first announced in a memo by CEO Larry Fink and President Rob Kapito, who only said the executive had violated corporate policy.

At a meeting last year, the firm’s CEO discussed how behavior would be held to a higher standard than rank-and-file employees, people familiar with the matter said.

Mark Wiseman, global head of active equities and frontrunner to succeed CEO Larry Fink, said he failed to disclose a consensual relationship with a colleague.

Scott Powell will oversee the bank’s relations with regulators as it seeks to shed a Federal Reserve-imposed asset cap.

These tools will revolutionize … Wait. No. These tools will help financial planning evolve.

A close look at the seven letters Jay Clayton highlighted, and about two dozen others submitted to the SEC by supposedly regular people, shows they are the product of a misleading — and laughably clumsy — public relations campaign by corporate interests.

As Bob Dylan once sang, “the times they are a-changin.”

Allen Parker led Wells Fargo during its six-month search for a new chief executive officer.

The hiring marks Charlie Scharf’s first major leadership appointment since he took over the embattled bank last month.

An extension from the agency comes amid warnings from brokerages that breaking out stock and bond analysis would threaten their own research businesses.

The agency floats proposal to expand regulations to accommodate new online channels, allow for third-party ratings and testimonials.

The regulator is doing more with less but also missing its own goals around how long an investigation takes to result in an enforcement case.

CEO Dan Arnold described the firm's multipronged strategy for further growth.

The firm’s shares presumably trailed rivals for a reason — did anything from the third quarter drastically change those views?

Advisors are not "non-for-profits,” CEO James Gorman said.