Two brokers with the firm Laidlaw & Co. were penalized for excessive trades that were unsuitable for clients.

Sanctuary Wealth held a grand opening for its new East Coast headquarters on Madison Avenue in New York City.

On social media and at industry gatherings, Spitzner was open and transparent about his acute myeloid leukemia diagnosis.

The Americas arm of UBS' global wealth management division saw total revenue dip despite a boost from net interest income in a 'challenging macroeconomic environment.'

For XO Wealth Management, the partnership with Slate Hill will provide access to family office services and enhance its ability to tap into the private equity space.

Former Alerian and Nasdaq executive Robert Hughes is the new CEO of First Trust Direct Indexing, the new brand name for Veriti, taking over for co-founder and Managing Partner James Dilworth.

Sponsors and participants alike are prioritizing financial education and more savings options in workplace retirement plants.