Displaying 388 results
UBS loses 248 advisers in the Americas over past year
Meanwhile adviser annual productivity reaches new peak of $1.35 million.
Finra bars former UBS rep involved in trading away investigation
Nicolas Barrios refused to take part in inquiry over private company he founded.
One adviser from UBS and two from Merrill Lynch move to Raymond James
The number of assets managed by each adviser ranges from $137 to $190 million
Four-adviser team managing $530 million at UBS goes independent
Hybrid firm will use Schwab as its custodian.
Wealthy US investors sitting on cash despite optimism in economy
UBS survey: Biggest worries were political environment, followed by national debt and health-care costs.
A new pay model: 300 advisers move, and the entire industry feels the shift
As some wirehouses hire more salaried advisers, speculation mounts that the traditional way of compensating brokers is being threatened.
Adviser duo managing $400 million exit Fieldpoint Private for Treasury Partners
David Zoll and Sarah Pifer join New York firm, which is a unit of HighTower.
Adviser managing $166 million moves from UBS to Stifel
Mark Scaglione is based in the firm's Tampa, Fla., office.
UBS says wealthy clients add $22 billion in Q1
The firm's better-than-expected inflows in the first quarter marked a rebound from fourth-quarter outflows.
UBS merges two divisions in pursuit of ultra-rich clients
New venture will combine capital-markets teams across wealth management and the investment bank in the U.S., according to memo.
UBS develops new wealth management app for iPads
Client information will feed directly into advisers' workstations, so they'll know when a client adds a new financial goal.
UBS considers sale, acquisition and other options for its asset management business
Unit has been hit particularly hard by investor flight to cheaper funds.
Steward Partners adds two advisers, $212 million in assets
Nick Fiegoli joins New York office; Dennis Reynolds in Paramus, N.J.
Advisers with $876 million in AUM join UBS from U.S. Trust
Troy Swaner and Fowler Hatley are based in Dallas.
‘Whopper’ UBS broker sentenced to prison for Puerto Rico bond fraud
Jose Ramirez pleaded guilty to misusing credit lines to purchase securities.
UBS confronts ‘one of the worst’ Q1 environments in recent history
Bank will slow hiring and deepen cost cuts by about $300 million.
UBS feels the pain from spooked billionaires
Hit to wealth from a difficult trading environment was already visible in the fourth quarter.
UBS escalates its pursuit of rich Americans with staff promotions
Bank names 96 managing directors in Americas, including 60 financial advisers, as it targets more billionaire clients.
UBS ordered to pay more than $5.1 billion in French tax case
Bank was found guilty of helping French clients hide assets from tax authorities.
UBS dinged by Virginia after broker recommended gold and precious metals securities
The overconcentration of securities was not suitable for some clients, Virginia alleged.
