UBS Faces Squeeze as Swiss Regulator Proposes Tighter Capital Rules ...

A Houston-based registered investment advisory firm and two of its financial advisors are on the hook for millions of dollars over allegations that they caused a customer to miss out on huge gains in ...

A version of this story originally ran on Deconstructed, a weekly newsletter from Financial Advisor IQ that breaks down news and perspectives on portfolio construction.

Though most wealthy investors prefer fee-based financial planning to a commission-based approach or a no-fee platform, wealth management firms should still ensure they can meet the needs of investors ...

A bogus investment advisor charged five years ago with fleecing investors out of millions of dollars in a Ponzi scheme has been sentenced to three years in prison.

Envestnet has unveiled two new artificial-intelligence tools for financial advisors that the company says will help them operate more efficiently.

The Securities and Exchange Commission 's Investor Advisory Committee on Thursday voted to recommend new rules regarding the regulation of pre-dispute arbitration clauses used by registered investment ...

New restrictions expected to be proposed in Switzerland this week may undermine the efforts of Swiss-based UBS to expand its footprint in the United States, according to news reports.

Marianne Lake, J.P. Morgan's head of Consumer & Community Banking, has now been tasked with also overseeing the international expansion of the firm's consumer business in what appears to be a move ...

UBS has been ordered to pay $1 million to a financial advisor the firm fired months after he executed almost $500,000 in unauthorized trades in a customer's account.

Michael Liersch, head of enterprise advice and planning at Wells Fargo, has left the firm, a spokesperson for the bank confirmed to Financial Advisor IQ on Wednesday.

Merrill Lynch has poached a veteran UBS market executive in New Jersey. An experienced Merrill Lynch financial advisor has jumped ship for Perigon Wealth Management. A financial advisor who had been ...