Practice management

UBS Wealth Management Americas continued on a hiring spree, adding million-dollar producers in New York and Houston.

Morgan Stanley announced Monday it has named Paul Price head of the firm’s investment management international sales.

The White House is considering appointing Elizabeth Warren as interim head of the Consumer Financial Protection Bureau, bypassing a likely Senate confirmation battle.

After analyzing 13 planning tools, Boston-based Aite names the three best products.

Todd Locicero was named office manager of UBS Wealth Management Americas' Los Angeles Private Wealth Management office.

FINRA has censured and fined the New York-based brokerage firm $1 million for using an illicit high frequency trading strategy and related supervisory failures.

Though the creation of a consumer protection bureau got much of the attention, the Dodd-Frank Act also created an Office of Financial Research with an ambitious mandate.

The Financial Industry Regulatory Authority wants broker-dealers to be a lot more specific on the reasons for dismissing an employee in their reports to the regulator.

Douglas Lee Campbell, a former senior vice president and marketer in Bank of America’s municipal derivatives group, pleaded guilty Thursday to three criminal counts for engaging in bid-rigging and fraud conspiracies connected with guaranteed investment contract and other municipal finance agreements.

The Financial Services Authority said Thursday it fined Goldman Sachs $31 million for failing to notify the U.K. regulator that trader Fabrice Tourre was being investigated by the U.S. Securities and Exchange Commission.

Morgan Stanley Smith Barney announced Thursday it hired Lisa Cregan, a former UBS manager, to run its brokerage offices in Houston.

SEC Chairman notes there have been net redemptions from equity mutual funds every single week for the past four months.

Thanks to record low Aa corporate discount bond rates and declines in domestic and international stocks, U.S. corporate pension plans saw their funding status dip more than 5.6% to 71.3% in August, BNY Mellon Asset Management said.

Whether you were in the U.S., Canada or Europe during the financial meltdown, the economic effects were felt by every investor class, which in turn, is now forcing many to find alternative means to curb risk and diversify their investment portfolios.

The Securities and Exchange Commission charged a Colorado investment adviser with deceiving elderly clients about the safety of putting their money into hedge funds.

The SEC is likely to revise its approach to circuit breakers to include a “careful review” of price bands that limit how far up or down the price of a stock can move at any given time.

The Securities and Exchange Commission will kick off its much-awaited series of hearings on the municipal market this month, holding the first on Tuesday, Sept. 21, in San Francisco.

JPMorgan Securities picked up a $3-million team of veteran advisors from Morgan Stanley Smith Barney.

Argues it wasn't the only money market fund to break the buck.only

New report by Allianz says U.S. pension market is expected to see slower growth.