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UBS ordered to pay $4.8 million over Puerto Rican bond sales

The wirehouse disputes the damages and asserts the case is not indicative of how other arbitration panels may rule on the investment products.

Duo managing $1.1 billion at Morgan Stanley moves to J.P. Morgan

Mark Donohue will be based in Palm Beach Gardens, Florida; Gordon Sommer in New York

Wells Fargo fails to shake 401(k) suit

The development likely gives the plaintiffs more leverage for a settlement, as the class-action case has moved one step closer to a trial.

FSI sues to stop withdrawal of DOL independent contractor rule

The overturned Trump regulation would have provided certainty to independent brokers and advisers, FSI said. But an advocacy group says DOL has the authority to go in a different direction.

Market volatility focuses attention back on inflation risks

The historic government spending, combined with wage pressures, could be the catalyst for runaway inflation, according to experts. The S&P 500 Index, which is still up 9.5% from the start of the year, fell by nearly 4% early this week.

InvestmentNews is six-time finalist for business journalism awards

The publication was cited for overall editorial excellence, best commentary, best work by a single author, and art direction.

Hire above your weight

One of the main reasons we were able to achieve what we have is because we hire and retain great people who are highly skilled at what they do.

Hot sector of ESG investing is cooling fast

The record-breaking boom in clean energy funds is rapidly giving way to a bust; since the beginning of May, about $154 million has been pulled from clean energy ETFs.

New SEC chair faces challenges from other regulators

The responses of other federal agencies concerned about developments in securities markets may conflict with the SEC's core missions.

5 myths about using donor-advised funds for impact investing

In fact, some of the largest DAF providers in the country have made significant strides over the past three years to offer donors greater flexibility to choose investments aligned with their personal values and philanthropic intent.