UBS is combining the regional teams responsible for managing products and services related to alternative investments, investment mandates and partnerships.

The new offering includes investments that are targeted at having a positive social and economic impact through advancing women.

The firm is looking to differentiate itself in the advice arena by emphasizing behavioral financial advice.

The financial planning company’s CEO said the hires represent a turning point in the industry’s technology space.

Wedbush Securities charged in a pump-and-dump scheme, cryptocurrencies shouldn’t be in IRAs and Hilliard Lyons rebrands.

Passive investments aid in slashing of fund fees, David Peavler joins HD Vest as general counsel and Steven and Jeremy Friedman leave Wells Fargo Advisors for Raymond James.

Wells Fargo plans to stay in the Broker Protocol Agreement, the SEC charges an investment advisor in a cherry-picking scheme and a New Jersey financial advisor is accused of fraud.

Tax season starts on Jan. 23, Boston financial advisor accused of fraud and Stash scores $25 million in capital funding.