The news ends speculation that Ermotti might try to succeed UBS chairman Axel Weber
Schwab's acquisition of TD Ameritrade and Morgan Stanley's deal for ETrade have elicited criticism from Sen. Sherrod Brown and Rep. Maxine Waters
Cold-callers Jason Arthur and Christopher Bongiorno were unlicensed when they pitched investors the securities of two U.S. companies
The company allegedly breached its fiduciary duty, in part by selecting funds that allegedly made excessive revenue-sharing payments to Fidelity
The move marks at least the second adviser to switch from Raymond James to LPL in as many months
As U.S. stocks headed for their first gain in eight sessions, the online brokerage had technical issues
By addressing clients’ health and aging, advisers can prove their value as rising health care costs threaten the security of retirement accounts
The argument hinges on whether a lifetime sanction is a punitive or remedial punishment
Why many women aren't seeking advice
Rebalancing activity was the highest it's been since 2008, according to record keeper Alight Solutions
With more people than usual logging in to check their accounts or make trades, some platforms are slowing down
The bank produced video of a man following an adviser to her car. Key footage is allegedly absent
Firm recommended that clients buy, hold single-inverse ETFs in retirement accounts despite previous Finra penalty
Presidential candidate to introduce measure that stops execs from delaying paying taxes on stock options and deferred compensation
Vestwell now brings all non-custody services in-house
Insurance salespeople had a part in selling the $1.2 billion Woodbridge Ponzi
Widows and widowers have multiple claiming options
The regulator says Seagal failed to disclose that he was paid for touting B2G's initial coin offering
The Supreme Court decision makes it harder for fiduciaries to cite a three-year window to have ERISA claims dismissed
The Insured Retirement Institute wants mandatory retirement plan coverage for most businesses, but similar legislation has been floated in the past
