Industry

UBS to pay more than $10 million to settle charges that it prioritized municipal bond sales to flippers and to build its own inventory.

UBS posted disappointing earnings in its Americas wealth business in the second quarter.

Hester Peirce and Caroline Crenshaw appeared before a remote hearing of the Senate Committee on Banking, Housing, and Urban Affairs to discuss their concerns and ambitions for the commission's future.

At least six former staffers say they can’t share their experiences because of the strict conditions in their exit pacts with the firm.

Dave DeVoe, founder of San Francisco-based research outfit and investment bank DeVoe & Co., indicates RIA M&A continues to steamroll ahead, despite dropoff from smaller players.

Advisors Larry Durso, his son Michael and Michael Lombardi have partnered with Dynasty Financial Partners to launch their own RIA.

Fables of the Reconstruction

A&O Advisors helps exonerees who have won substantial civil settlements for the injustices they suffered build a financially secure future after years in prison.

Jim Roth, a former managing director at BNY Mellon Pershing, is the latest industry vet to join Oyster Consulting as it builds out a wealth management business.

The addition of David Carroll and Jon Springer is the third team to join the firm since Chris Freimuth and his team left BOK Financial Wealth Group to launch it in March.