Both sides, the firms as well as the regulators, want to clean up their books going into the new year,” one executive said.

Billions of dollars of investment into artificial intelligence is set to propel tech stocks to yet another year of bumper ...

The core of the problem stemmed from UBS FSI's use of its Trade Allocation and Processing System (TAPS). The system handled ...

After Apple Inc's market share fell in China in the Q3, UBS has now forecast dampening sales in the month of December.

UBS FSI has agreed to pay the Financial Industry Regulatory Authority (Finra) $1.1 million to settle charges that for more than 10 years and despite multiple regulatory warnings, the Weehawken, ...

Wealth Management, its main unit, represents 60% of UBS's Revenue, but is still lagging in terms of ROE. Explore more details ...

Are there any advantages of putting my money into two different brokerage accounts or should I just transfer it to my existing Charles Schwab account? I’m 52 years old and I don’t plan on ...

There are many benefits to working with an FCA-regulated broker. Traders can be assured that their funds are segregated from the funds of their broker, that they have negative balance protection ...

At least 22 representatives or teams frequently traded preferred stocks intended as long-term income vehicles, Finra alleges.

UBS has agreed to pay nearly $3.5 million to settle allegations that it failed to properly supervise brokers engaging in short-term trading of preferred stocks. The alleged supervisory failures ...

See how we rate investing products to write unbiased product reviews. A brokerage account is like a checking account for your investments. The difference, however, is that brokerage accounts act ...

UBS Wealth Management USA announced today that The Schultz Group, including Steven L. Schultz, Stockton M. Schultz, and Justin M. Low, has been named to the Forbes/SHOOK America's Top Wealth ...