The Swiss bank-owned wealth management firm bulks up San Francisco branch with 28-year industry veteran.
Terri Ferri, manager of Morgan Stanley Wealth’s headquarters branch in suburban New York City, takes reins of Connecticut complex, while a UBS manager in Massachusetts moves cross-country to head six Silicon Valley branches.
Gerry Ferrante, complex manager of wirehouse’s Fifth Avenue complex, hands reins to John Palazzetti, who returns after a hiatus at Fieldpoint and Park Avenue Securities.
Palo Alto, California-based broker agrees to three-month suspension for letting a customer move money from her husband’s IRA to a jointly-held bank account.
A broker with 37 years of industry experience has agreed to a two-month suspension and a $5,000 fine for using his personal email and computer to conduct client business.