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Emerging-market ETF sees record $2 billion of inflows

January 22, 2019

The longest rally in emerging-market stocks in a year encouraged record inflows into at least one exchange-traded fund over the past two weeks. Investors piled more than $2 billion into the iShares Core MSCI Emerging Markets ETF, the second...

UBS saw decline in new client money in fourth quarter

January 22, 2019

As the market churned in the fourth quarter, UBS Group AG said on Tuesday that the amount of net new money in its wealth management business in the Americas declined by $3.6 billion for the final quarter of last year when compared with the same...

Private banks offer inside tours of Silicon Valley to curry favor with uber-rich offspring

January 18, 2019

It's karaoke Thursday in Silicon Valley, and the song that ought to be playing is Travie McCoy's "Billionaire." After all, the young people gathered at Fred's Place, a dive bar not far from the Googleplex in Mountain View, California, were fabulously...

Merrill Lynch's thundering herd reeled in 53,000 new clients in 2018

January 16, 2019

The recent shift in Merrill Lynch's pay plan for its thundering herd of brokers and financial advisers looks like it is paying off, as Merrill Lynch Wealth Management on Wednesday reported record annual revenues of $15.9 billion. Its 14,796...

Vanguard holds half of PG&E $920 million municipal bonds

January 15, 2019

The Vanguard Group holds about $415 million of municipal bonds issued on behalf of PG&E Corp., about half of the $920 million state and local debt sold for the California utility that's edging toward bankruptcy because of the fallout from devastating...

Finra bars former Morgan Stanley rep after investigation

January 9, 2019

The Financial Industry Regulatory Authority Inc. has barred Daniel Todd Levine from the securities industry for failing to cooperate in an investigation looking into allegations that he engaged in undisclosed outside business activities while...

Brokers form new stock market

January 7, 2019

A group of big banks and brokers is forming a new U.S. stock market, funneling years of frustration about how much exchanges charge into the creation of a competitor. The nine founders, including Fidelity Investments,​ Morgan Stanley, UBS...

Will LPL's new emphasis on recruiting from wirehouses pay off?

December 21, 2018

Recent moves in the recruiting group at LPL Financial make it clear that the firm is trying to target more registered reps and financial advisers who currently work at wirehouses and convince them to leap to a broker-dealer where they labor...

Wall Street could be facing fewer fines in 2019 as lone SEC Democrat leaves

December 19, 2018

For Wall Street banks and other companies accused of malfeasance, the risk of getting slapped with a big fine by the U.S. Securities and Exchange Commission will soon drop significantly. That's because Kara Stein, the SEC's lone Democratic commissioner,...

UBS Wealth embraces exotic strategies to battle market headwinds

December 19, 2018

The world's largest private bank is doubling down on exotic strategies to profit from the intensifying meltdown in the synchronized bull market. As Wall Street frets another annus horribilis, UBS Global Wealth is embracing a playbook beloved...

Annuity group says Ohio National poses risk to industry

December 18, 2018

The Insured Retirement Institute, an annuity industry trade group, said recent business decisions Ohio National Financial Services Inc. has made around its variable annuities poses a risk to the broader annuity industry. Ohio National stunned...

Husband of UBS banker sued by SEC for insider trading

December 18, 2018

His fiancée didn't know he was eavesdropping. He swiftly made more than $250,000. They got married. Then the Securities and Exchange Commission showed up. Now the husband of a banker at UBS Group has settled allegations that he traded on inside...

Fed hikes are rare when stocks are this battered

December 18, 2018

Donald Trump's hectoring aside, it's exceedingly rare the Federal Reserve raises interest rates when stocks are behaving this badly. In fact, were policymakers to follow through with their widely expected hike Wednesday, it would be the first...

UBS sues Ohio National over lost variable annuity commissions

December 17, 2018

UBS has sued The Ohio National Life Insurance Co. and its subsidiaries for the insurer's new policy of ending adviser trail commissions on some variable annuity products. The wirehouse joins several other broker-dealers fighting the cessation...

UBS hit with $15 million in fines, penalties for AML problems

December 17, 2018

Securities and banking regulators are continuing to focus on anti-money laundering procedures and policies at firms of all stripes, announcing on Monday that UBS Financial Services Inc., home to more than 6,900 financial advisers, has been fined...

Regional broker-dealers quietly making comeback now, but the future remains uncertain

December 15, 2018

The financial advice industry frequently focuses on the rise of registered investment advisers and the independent broker-dealer market when it talks about trends in the business. But quietly making a comeback are regional broker-dealers, firms...

How we fight climate change matters

December 13, 2018

Sustainable and impact investors are set to intensify their decades-long support for action on climate change on the heels of a recent report from the Intergovernmental Panel on Climate Change and the Fourth National Climate Assessment, issued...

UBS gets ultra-high-net-worth and family office clients to invest in Times Square tower

December 13, 2018

A major Times Square development has secured more than $780 million in new equity, including about $400 million from UBS Group AG's ultra-high-net-worth and family office clients. Construction on the 46-story tower at 1568 Broadway known as...

Wells Fargo Advisors 2019 comp plan sees little change

December 13, 2018

Wells Fargo Advisors told the 9,000 or so advisers in its private client group on Thursday afternoon that the overwhelming majority of them will not see changes to their pay plan next year. Wells Fargo reps who produce more than $250,000 will...

Despite broker protocol mess, advisers still thinking about leaving Wall Street: Schwab study

December 12, 2018

The uncertainty created by large firms pulling out of a brokerage industry agreement that makes it easier for financial advisers to move to a new employer has had little effect on financial advisers' thinking about leaving the brokerage industry,...

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