In this spotlight, Tony interviews Gregg Johnson, Executive Vice President of Branch Office Development at Securities America.
UBS Group AG is close to settling a tax evasion case with Italy for about 100 million euros ($110 million), according to people familiar with the matter.
Award compensates a couple who invested in Puerto Rican bonds and closed-end bond funds, some of which were borrowed on margin, leaving UBS with almost 800 pending arbitration claims.
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Matrix Private Capital expects to more than double is assets under management by recruiting legacy Morgan Stanley Dean Witter team, firm executive says.
The chances of an IRS audit for people making at least $10 million a year plunged during the government’s last fiscal year, according to data released on Monday.
Arbitrators also denied expungement request from New Mexico broker who was not named in the underlying suitability complaint.
Most popular stories from May 12 to May 17.
Bruce Tenenbaum, who was overseeing some $1 billion in customer assets at UBS, is first broker hired by Greg Fleming’s firm on the West Coast.
New Jersey-based Gladstone Wealth Group, which has been recruiting wirehouse managers in an effort to quickly expand its franchise, signs up 21-year industry veteran.