Law and regulation

Jay Clayton represented the bank in connection with the $10 billion bailout it received in 2008 as part of the government’s $700 billion rescue of banks during the financial crisis.

In December, $2.27 billion was pulled out of SPDR Gold Shares, the world’s largest ETF backed by the metal.

New call analysis technology can dissect a conversation and actually flag if a representative is using throwaway words such as "like" or "um" too often.

Potential trade war from America's fraying relationship with China is just one scenario fueling the bullish outlook.

While clients have only pulled a net 2% of assets so far,some have predicted the industry would shrink by roughly a quarter over the next year.

Following the president-elect's Tweet, the Global X Uranium ETF rose to a session high.

The reductions cover six of the firm's 17 multifactor offerings.

The bank's fund unit is considering a launch within three to six months.

Since 2014, the bank has culled 17,000 clients as tougher capital rules make dealing with many smaller firms less profitable.

"I lose years of my life. They can settle, write a check and move on," says an adviser whose book of business dropped by $40 million after he alleges he was wrongfully terminated.

Will Chief District Judge Barbara Lynn be the first to rule against the regulation? Opponents of a case in Texas federal court have high hopes.

The bank may be on the hook for hundreds of millions of dollars in tax penalties, lawyers say.

With a close watch on the policies from incoming President-elect Donald Trump, industry leaders and analysts share their predictions for industry trends in 2017.

As brokers seek to redefine their value proposition, advisors need to rethink theirs.

Despite expected industry constriction, a number of leaders see opportunities in employing technology, innovative products and even strategy toward regulation.

Arbitrators also rejected the former adviser's counterclaims for $51 million in damages.

An arbitration panel ordered the wirehouse to settle the latest dispute stemming from client investment losses tied to the island commonwealth's massive debt crisis.

The problem began when a hyperlink was missing from where clients were accustomed to reviewing their transactions online.

President-elect Trump will likely to be "bond unfriendly" because his proposals will drive up yields by increasing national debt and stoking inflation, Gundlach predicts.

Just 23 of more than 1,750 funds that trade in the U.S. focus on currencies. BlackRock has none.