The Financial Industry Regulatory Authority has suspended and fined a former Merrill Lynch financial advisor the wirehouse ...

Thirty-two parking spots on Broad, Chestnut and Third streets have been designated for those employees during the City Hall ...

BAT said that this was in accordance with the authority granted by shareholders at the company's annual general meeting that ...

Bank of America’s brokerage unit reported strong growth, as did the company’s private bank, as executives are emphasizing ...

The U.S. Securities and Exchange Commission (SEC) on Friday said a pair of Wells Fargo Advisory firms and Merrill Lynch have ...

Two Wells Fargo-affiliated investment advisers and Merrill Lynch agreed to pay $60 million, while LPL Financial agreed to pay ...

In the case of Morgan Stanley, the wirehouse wants its financial advisors to increase their banking relationships with ...

An ex-Merrill Lynch banker turned in-house deals expert lost a ruling over whether a raid of his home in the Paris suburb of ...

The Ultra-High-Net-Worth Advisory Group, which debuted earlier this month, comprises more than 25 Merrill specialists who ...

“Wells Fargo Advisors and Merrill Lynch offered bank deposit sweep programs, or BDSPs, as the only cash sweep option for most ...

The firms failed to consider the best interests of clients when selecting cash sweep programs, the agency said.