The shift toward fee-based models is expected to continue over the next few years — by next year, Cerulli projects fee-based revenues to represent 77.6% of total revenues. But Cerulli associate ...

On Friday, UBS asked the U.S. District Court for the Southern District of Iowa to vacate the Finra award, claiming that the panel of arbitrators "exceeded its powers" in awarding the punitive damages ...

The Securities and Exchange Commission continues the overhaul of its operations, with plans to reorganize who its enforcement and examinations staff will report to and reassigning nine regional ...

Farhad Firoozi joined Wells on Tuesday, a spokesperson for the bank confirmed. Firoozi replaces Brendan Krebs, who left for PNC Investments in November. The role since Krebs' departure had been ...

Arta Finance claims it's using AI to speak to younger investors in a language they can understand, with expressions such as "no cap," according to The Wall Street Journal.