Three former representatives of Morgan Stanley Smith Barney (MSSB) have left the firm to form Three Bridge Wealth Advisors in Menlo Park, California.
UBS AG agreed to provide 4,450 names of U.S. account holders to settle a tax-evasion lawsuit, according to news reports.
Leveraged exchange-traded-funds (ETFs) have caught the attention of regulators, and now law firms have noticed the products as well.
Westrock Group, Inc., a financial services holding company, named Donald H. Hunter, Jr., as CEO and president of the firm and its wealth management subsidiary, Westrock Advisors, Inc.
A judge has put the brakes on Bank of America’s $33-million settlement with the Securities and Exchange Commission (SEC).
Morgan Stanley Smith Barney (MSSB) became the latest wirehouse to put its foot down on exchange-traded funds (ETFs).
While most advisers offer employer benefits retirement planning services, only a quarter of clients use those services, according to research from Cerulli Associates.
The Financial Industry Regulatory Authority (FINRA) has fined Ameritas Investment Corp. $100,000 and suspended and fined one of its brokers for inducing customers to take on additional home equity debt in order to purchase variable universal life insurance policies (VULs).
While moving to independence is easier for advisers than ever before, it’s still not exactly easy.
Morgan Stanley Smith Barney announced that clients can access unlimited Federal Deposit Insurance Corporation (FDIC) insurance on cash held through its Bank Deposit Programs.
Money doesn't seem to equal "prestige" in the eyes of Americans.
Days after Bank of America (BofA) announced the appointment of Sallie Krawcheck to run global wealth and investment management, Daniel Sontag said he will leave BofA, according to published reports.
UBS did some more rearranging of its wealth management units, but the American business will stay the same.
Bank of America Corporation (BofA) unveiled four senior management changes, including the appointment of Sallie Krawcheck to lead Global Wealth and Investment Management.