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Former baseball star Angel Pagan wins $1.7 million arbitration award against Merrill Lynch
Case revolved around investments in Puerto Rican bonds made by the former MLB star
All-woman team managing $335 million at Morgan Stanley moves to Janney
The five-person Dupre Keating Group joins offices in Pennsylvania and Delaware
Duo managing $194 million moves from UBS to Raymond James
James Ducharme, Michael Rowland join firm’s employee unit in Melbourne, Florida
UBS hires $10.8 billion team as net new client money in U.S. slides
The Swiss bank snags Wickham Cash Partners in Charlotte; reports $9 billion decline in net new money in Americas in Q4
Morgan Stanley eyes 1 million wealth management clients from stock plans
Technology push at Morgan Stanley comes into focus after Solium Capital acquisition
Merrill to continue focus on training over recruiting in 2020
Long the financial advice industry's leading trainer of young brokers, Merrill to renew attention on coaching
Goldman Sachs issues its first wealth management revenue total
At $4.4 billion, its financial advice business is small compared to brokerage giants
Wells Fargo loses more than 450 advisers in 2019
Expenses also increased at Wells Fargo Advisors, and the firm lost a clearing client
Finra probes brokerage bank sweep accounts as commissions dwindle
Expert: Interest rate discussions with clients ‘can be problematic’
UBS plans Miami office to work with Latin American firms
The Swiss bank is targeting billions of dollars managed by Latin American intermediaries booking assets in the U.S.
Wall Street targets Silicon Valley rich
Citi, Bank of America and Morgan Stanley are among the firms beefing up their wealth management efforts in Northern California
Wells Fargo team with $800 million moves to Raymond James
Daniel Kaschmitter and William Gelegotis are joining the employee unit in Salt Lake City
It’s 2020, and the chase for big commissions is back
The financial advice industry is priming the pump to increase sales of high-commission products
UBS wealth unit revamp gathers pace
The wirehouse plans to cut as many as 500 private banking jobs as it moves forward with its overhaul
Wells Fargo to remain under political pressure through 2020, Cowen warns
An analyst is forecasting trouble for the wirehouse through next year, with mounting risk as Democrats take aim
Decline of brokerage research accelerates as disruptive forces reshape industry
Machines are doing a lot more of the work and investors are piling into passive funds.
Merrill Lynch duo managing $270 million moves to Raymond James
Christopher Stanford and Matthew Douglas are joining the employee unit
Wells Fargo Advisors signs up more than 1,000 advisers for new succession plan
Program gives advisers who stay until retirement an additional bonus of 25% of their trailing 12
BofA puts final nail in the coffin of commissions on Merrill Edge platform
The $225 billion digital platform dumps trading costs to stay competitive
Finra arbitrators order UBS to pay female brokers $171,445
UBS considers low damages award an 'overwhelming rejection' of their claims.
