The Swiss multinational investment bank continues to face compensation claims from brokers after shuttering its U.S. banking unit in 2015.

Massachusetts Secretary William A. Galvin alleges Janney Montgomery Scott didn't properly supervise a broker who frequently bought and sold high-fee mutual funds to boost his commissions.

The broker/dealer owes $772,000 in fines and restitution, according to a FINRA sanction against the firm.

The couple said their AXA broker sold them high-end, high-commission annuities and life insurance policies they didn't need.

They streamline the process with existing E.U. regulations.

A New Jersey woman claims a broker with Wells Fargo Advisors Financial Network used proceeds of her late husband's life insurance policy to invest in speculative options and volatile non-income-producing individual securities such as Facebook.

The fate of the ballyhooed Bakkt project is in the hands of state regulators now.

Environmental, social and governance funds could see criticism following a broad executive order signed by President Trump.

The rules provide more clarity on the tax breaks included in the 2017 tax reform legislation.

Investors allegedly lost $8 million in assets from a failed medical marijuana venture linked to a Massachusetts-based advisor.