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.

Rodney Branch, a former executive at Prudential and Athene USA, will lead Luma's marketing efforts as chief marketing officer.

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.

Over the span of 12 years, Michael Barry Carter transferred about $6 million from brokerage and elderly investment advisory clients into his own bank account, the SEC claims.

Emily Schlosser leaves Goldman Sachs to join BNY Mellon Pershing as its new COO, succeeding Jim Crowley, who was promoted to CEO a year ago.

Ross promises to use 'dope graphics' and jargon-free language in a video series he hopes will be integrated into classroom curricula across the country.