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UBS reaches $1.44B settlement in DOJ mortgage-bond case
The case, which dates back to 2006 and 2007, relates to the issuance, underwriting and sale of the securities.
Former Wells Fargo private bank execs gather assets at new firm
Jack Ginter was the president of Wells Fargo's private bank until he left in 2021.
Helping clients avoid the cost of financial ignorance
Advisors can bring back 'rational thinking' as study to mark Financial Awareness Day reveals lack of knowledge costs average household up to $5,059 a year.
Sequoia Financial acquiring special needs-focused wealth manager Affinia
Burlington, Massachusetts-based Affinia has 10 professionals overseeing $418 million in assets.
Financial firms hate the term ‘ESG’ but are sticking with the strategy
About two-thirds of respondents to a Bloomberg survey say they'll stop using ESG in conversations with clients but continue to incorporate it in their business.
Schwab says TD Ameritrade deal causing retail, advisory attrition
Finance chief Crawford says company has stepped back from some custodial relations Ameritrade offered institutional clients.
UBS Wealth Management takes another $640M team from Wall Street firm
The Swiss-headquartered wealth manager has expanded its advisor head count in Ohio.
Everyone is offering incentives — Raymond James
Fee discounting has started. Is this the end of a 'golden era'?
Welcome to the ‘Millionaire’s Tax’
State launches 9% rate for high earners.
Wealth Enhancement adds new leaders after ‘remarkable growth’ in 2023
The firm has been expanding fast in the first half of the year including several acquisitions.
UBS faces new class action
Even as the bank removes Credit Suisse nameplates, more legal storm clouds roll in.
Rockefeller Capital Management continues expansion as more wealth advisors join the team
Firm has big plans for growth, acquisitions.
Stocks and bonds gain as China acts on debt
Also in focus this week, the latest Fed FOMC minutes.
Former CEO of failed crypto exchange FTX in custody
Sam Bankman-Fried's bail was revoked for alleged witness tampering.
UNest enters financial advisor marketplace with Wealthtender partnership
The startup has raised more than $40 million but until now has only gone directly to consumers.
Jeff Rosenberger and Guideline’s mission to provide 401(k)s to small businesses
The digital record keeper now has $9 billion in AUM across 40,000 customers.
Goodbye, Royal Alliance. Hello, Osaic Wealth
The Royal Alliance name and brand had been around since 1989.
Edward Jones head count, assets grow in second quarter
The firm said it is up 42 financial advisors compared to the first quarter.
Real estate surges to new record value
But not everyone is a winner – and here’s why.
Schwab invests in next generation of investment advisor talent
Firm announces its next round of scholarships for those aiming to become RIAs.
