Osaic Services, known as SagePoint Financial from January 2009 to November 2023, allowed registered representatives without sufficient knowledge or experience with options trading to override trading ...

Wells Fargo’s bank-based advisors are capturing new assets through the firm’s Premier offering for affluent customers, Chief Financial Officer Mike Santomassimo said last week.

At the 2023 annual Financial Industry Regulatory Authority conference, Grewal noted the sweep on firms including Merrill Lynch, Morgan Stanley and UBS that up to that point had resulted in total fines ...

Morgan Stanley has suffered a legal setback fighting a multimillion-dollar deferred-compensation lawsuit brought by hundreds of its former financial advisors, according to news reports. Last week, ...