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          • Merrill Lynch Exterior Sign and LogoMerrill’s New Household Growth Fell 40% in 2020–Sources
          • Wells FargoWells’ Wealth Profit Climbs Despite Continued Broker Attrition
          • (Left to right) Gregory Ernst and Todd Stark moved to RBC from UBS along with client associates Amy McGuire, Marnie O’Brien, Trudy SoperRockefeller, RBC Lure Merrill, UBS Teams in Midwest
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          • Morgan Stanley, UBS Advisor movesMorgan Stanley Rehires $3.3-Mln UBS Team in North Carolina
          • Lars Olson of Sanctuary Wealth Partners in Marion, OHSanctuary Hires $435-Mln Merrill Team, Snowden Lures Another from Retirement
          • Stifel Investment CompanyStifel Hires 33-Year Brokerage Vet from Jefferies in Dallas
          • (Left to Right) Merrill West Fort Worth producing manager Brad Bruce, Michael Coody, Aaron Gutierrez, David Cepeda and Dana Lewis.Merrill Hires $2-Mln JPMorgan Bank Team in Texas
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          • Businessman in prison, fraudWells Fargo Claws Back $3 Million from Jailed Ex-Broker
          • Finra signFinra Fines, Supends Ex-Ameriprise Broker Who Flipped ‘A’ Shares
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          • FINRAFinra Fines LPL $6.5 Million over Broad Supervisory Failures
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          • Opinion-How-Will-The-Coronavirus-Affect-The-Stock-Market-Opinion: Coronavirus – What Advisors Need to Know
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          • System outageMerrill Systems Hiccuped on Thursday as Stocks Slid
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          • 2021 PredictionsFrom the Publisher: Sirianni’s Predictions for 2021
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UBS

Morgan Stanley, UBS Advisor moves
1/14/21 | Advisor Moves, Most Read, News | Morgan Stanley, UBS | 7 Comments

Morgan Stanley Rehires $3.3-Mln UBS Team in North Carolina

Financial Advisor Moves
Bank of America, Merrill Lynch, Raymond James, UBS

Merrill Loses $2.8-Mln Producer to UBS, $2-Mln Team to Independence

12/28/20 | Advisor Moves, Breakaway, News | 39 Comments

Advisors in Louisiana and New Jersey left Merrill after about two decades.

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Advisor and Finra ruling
FINRA, UBS

UBS Dinged in YES Options Case, Complaints Remain on Brokers’ Records

12/23/20 | News | 1 Comment

Arbitrators award UBS client almost $90,000 of $402,000-plus claim that he was deceived about the safety of an options strategy.

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Arbitration
UBS

UBS Wins Another ‘YES’ Case, Broker Gets Expungement

12/21/20 | News

Arbitrators reject Barclays executive’s $2.5 million claim that he was duped by a UBS team’s options overlay strategy and let his broker expunge customer’s complaint from his regulatory records.

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Philadelphia, Pa.
Goldman Sachs, UBS

UBS Hires $7.5 Million Goldman Sachs Team in Philadelphia

12/21/20 | Advisor Moves, News | 3 Comments

Two advisors had been managing $1.7 billion in client assets, according to an announcement from UBS.

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UBS Bank
AllianceBernstein, Merrill Lynch, Morgan Stanley, UBS

UBS Hires Solo Advisors from Merrill and Bernstein, Loses Team to Morgan Stanley

12/16/20 | Advisor Moves, News | 2 Comments

UBS attracts multi-million-dollar advisors in southern California and Texas, loses Boston-area duo producing $3.5 million to Morgan Stanley.

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Merrill Lynch, Morgan Stanley, UBS

2021 COMP: Morgan Stanley Adds Team Bonus Hurdle, Lifts Private Wealth Minimum

12/15/20 | News | 6 Comments

Wirehouse leaves grid levels unchanged, adds team requirement, lifts numerical loan requirement, raises minimum account sizes for “private wealth” bankers.

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EdgeCo, Private Wealth Partners, UBS

$20-Million UBS Team Jumps to Start RIA

12/14/20 | Advisor Moves, Breakaway, News | 6 Comments

A twelve-person “private wealth” group in Manhattan overseeing more than $4 billion for ultra-wealthy families join a firm affiliated with former private wealth executive John Straus.

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Brandon Parker Fetterman, Sean Fetterman, Adam Fetterman and David Raphan joined Morgan Stanley on Friday from UBS in Boca Raton.
Morgan Stanley, UBS

Judge Issues TRO Against $14 Mln UBS Team that Jumped to Morgan Stanley

12/11/20 | Advisor Moves, News | 18 Comments

Star producer Sean Fetterman and his team allegedly got $35 million package to join Morgan Stanley, UBS says in suit seeking to prevent them from contacting clients.

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UBS Bank
Merrill Lynch, UBS, Wells Fargo

2021 COMP: UBS Keeps Pay Plan Unchanged–Memo to Brokers

12/11/20 | News | 8 Comments

After raising payout hurdles in 2020, UBS told advisors on Thursday that it is making no changes in 2021 compensation plan.

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Brandon Parker Fetterman, Sean Fetterman, Adam Fetterman and David Raphan joined Morgan Stanley on Friday from UBS in Boca Raton.
Morgan Stanley, UBS

Wire Wars: Morgan Stanley Lands $14-Million Florida Team from UBS

12/8/20 | Advisor Moves, News | 3 Comments

Boca Raton, FL-based group that joined Morgan Stanley last week managed about $1.7 billion in client assets at UBS.

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Financial Advisors Leaving
Merrill Lynch, UBS

$5-Mln Merrill Team Joins UBS in California

12/7/20 | Advisor Moves, News | 20 Comments

Merrill Lynch on Friday lost three advisors near San Francisco overseeing $920 million of assets to UBS, and two in Dallas managing $200 million to an independent firm affiliated with Raymond James.

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CORONACRASH NEWS

  • Raymond James Slashes CEO Pay 17% in Turbulent Year

    Raymond James Slashes CEO Pay 17% in Turbulent Year

    Jan 8, 2021
  • Solomon Sees Vaccine Bringing Goldman Staff Back by End of Year

    Solomon Sees Vaccine Bringing Goldman Staff Back by End of Year

    Jan 5, 2021
  • J.P. Morgan Bank Broker Cleared of Coronavirus Crash Claim

    J.P. Morgan Bank Broker Cleared of Coronavirus Crash Claim

    Dec 4, 2020
  • Edward Jones Broker Count Up 5%, Firm Pauses Branch Growth

    Edward Jones Broker Count Up 5%, Firm Pauses Branch Growth

    Nov 5, 2020
  • Merrill Wealth Slowly Eases Out of Covid Slump

    Merrill Wealth Slowly Eases Out of Covid Slump

    Oct 14, 2020

NEWS

  • This Week’s Top Stories: Morgan Stanley Sues RBC Team, Finra Raps Broker over A-Shares, and More

    This Week’s Top Stories: Morgan Stanley Sues RBC Team, Finra Raps Broker over A-Shares, and More

    Jan 16, 2021
  • Merrill’s New Household Growth Fell 40% in 2020–Sources

    Merrill’s New Household Growth Fell 40% in 2020–Sources

    Jan 15, 2021
  • Wells’ Wealth Profit Climbs Despite Continued Broker Attrition

    Wells’ Wealth Profit Climbs Despite Continued Broker Attrition

    Jan 15, 2021
  • Rockefeller, RBC Lure Merrill, UBS Teams in Midwest

    Rockefeller, RBC Lure Merrill, UBS Teams in Midwest

    Jan 14, 2021
  • Fired Merrill Broker in Beverly Hills Barred by Finra

    Fired Merrill Broker in Beverly Hills Barred by Finra

    Jan 14, 2021

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