UBS
Judge Bars Broker from Soliciting Former Morgan Stanley Clients
Oregon court moves swiftly to curb advisor who joined UBS from calling on clients he allegedly inherited from a retiring Morgan Staley broker.
Arbitrators Order Honored UBS Broker, Firm to Pay $125K in Client Dispute
UBS and two North Carolina brokers with 59 years of experience found liable for some of investors’ claims and lose expungement bid, but win exoneration on fraud claims.
This Week’s Top Stories: Veteran UBS Manager Shifts to Merrill, Merrill Lowers Bonus Bar, and More
Most popular stories from June 30 to July 6
$3-Million UBS Team Goes Indie with LPL and Gladstone
Duo in New Jersey were managing $350 million at the wirehouse where they worked for a decade.
High-Profile UBS Manager Joins Merrill
Kenneth Correa, who UBS has cited as an exemplar of its new-generation management and its diversity philosophy, is leaving after 15 years for the Thundering Herd.
This Week’s Top Stories: Ex-UBS Brokers Restart After Dismissals, Finra’s Annual Report, And More
Most popular stories from June 23 to June 29.
Ex-UBS Star Findley Hires Ten Former Staffers for New RIA
Advisor managing $1 billion when he was unexpectedly discharged in April has set up independent advisory firm in Ohio using Dynasty operational and Schwab custodial services.
Fired UBS Broker with Pro Athlete Specialty Sets Up Advisory Firm
Atlanta-based Bruce D. Smith creates Sports Advisory Group after his wirehouse “Sports Consulting Group” practice dissolves.
This Week’s Top Stories: Morgan Stanley Dismisses L.A. Broker, Credit Suisse Doubles Down, and More
Most popular stories from June 16 to June 22.
Fired UBS Broker Celebrates Expungement of Termination Notice
Finra arbitrators clear discharge notice from Virginia broker’s regulatory record after he and UBS settle firm’s claim for $811,000 balance on his promissory notes.
2020 Comp Plan: Raymond James Says ‘No Changes’
After cutting payouts in 2018, Florida-based broker-dealer signals to top producers that grid will remain unchanged in 2020 for a second straight year.
