Merrill and Wells are facing a total of at least 11 lawsuits related to the interest rates in their cash sweep programs, and ...

LPL, without admitting or denying the findings, agreed to pay a penalty of $18 million and to a censure and cease-and-desist ...

Jason Brooks Head, 46, of Tuscaloosa, Alabama, agreed to plead guilty in September to bank embezzlement and to a bar by Finra ...

UBS has obtained the necessary authorization from the Department of Labor to continue overseeing $11 billion in U.S.

JPMorgan Chase 's wealth management business finished the year on a strong footing, helping the asset and wealth management ...

Elevation Point announced that it has taken a minority stake in Northville, Michigan–based Stonebrook Private, a fee-only ...

Merrill Lynch and Morgan Stanley executives on Thursday discussed plans to further tap in-house banking services in their ...