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The brokerage firm is holding off on making major changes while regulatory frameworks shift once again.
August 28
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The case is a legacy of the fallout from Puerto Rico's bond crisis and the performance of UBS closed-end funds.
August 27
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The client relationship manager is now on a leave of absence, according to Merrill.
August 23
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Planners have been leaving bank-backed firms in droves in search of what they say is greater freedom and flexibility.
August 21
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The firm "deprived its clients of unbiased financial advice," the regulator says.
August 21
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Jamie Dimon and Lloyd Blankfein remain prominent public figures, but many other crisis-era CEOs have kept low profiles over the past decade.
August 20
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The firm is trying a new approach 10 months after quitting the Broker Protocol.
August 20
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Jean McCrave Baxter claims colleagues made sexual jokes and she was denied advancement opportunities afforded to male co-workers.
August 20
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Advisors John Burg and Tamara Colon moved their California practice to the regional firm.
August 15
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The advisor used about $410,000 to pay back investors in Ponzi-like fashion to keep the scheme alive, the regulator says.
August 10
