California-based broker is one of two leaving UBS in the Golden State in recent days, the other in more secretive circumstances.
Embryonic unit being formed under former LPL Financial executive Derek Bruton, who hands reins of Newport Beach office to former Merrill manager.
Arbitration panel awards UBS full promissory note claims and legal fees from a broker who left after just over one year for Oppenheimer.
New York firm eroded more brokers during the fourth quarter but advisory fee revenue (and executive compensation) soared.
Marty Padilla packs up his million-dollar team for new venture.
David Aplin, head of asset management product selection and overseer of brokers running discretionary accounts, is replaced after 22 years by a UBS manager.
Arbitrators deny attempt to collect mega-damages from fixed-income star Greg Fisher and to pay his hefty legal fees.
Law firm run by former SEC chairman scrutinized internal audits after previously criticizing Opco’s corporate governance, management and compliance programs.