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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...

Another LPL adviser sues Ohio National over variable annuity commissions

January 2, 2019

Another LPL Financial adviser has sued Ohio National Life Insurance Co. and its subsidiaries for ceasing the payment of trail commissions on certain variable annuity policies, joining a chorus of other parties to have filed similar legal claims...

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...

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...

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...

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...

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,...

Wall Street banks parse US data in search of recession signs

December 10, 2018

Wall Street's biggest banks are scouring U.S. data for signals of an impending recession. On balance, they've been finding that a 2019 downturn still isn't likely — though it's becoming slightly more so. The current expansion is eight months...

UBS names new head of US wealth unit, seeks to capture more American billionaires

December 10, 2018

UBS Group AG is promoting a long-time executive in the U.S. as it seeks to expand in the region and offer ultra-rich clients more bespoke investments. Jason Chandler will become head of wealth management in the U.S. after more than two decades...

A mastermind of survival, Credit Suisse CEO must now jump-start a turnaround

December 7, 2018

Tidjane Thiam is still standing. By simply surviving as chief of Credit Suisse Group AG, the Ivory Coast-born trained engineer has done what more experienced bankers couldn't in trying to fix Europe's troubled banks. With a restructuring plan...

Finra suspends broker who had assistant complete his coursework

December 5, 2018

The Financial Industry Regulation Authority Inc. has suspended a broker who instructed his assistant to complete his continuing education coursework in his place. Danijel Velicki, a broker employed with MML Investors Services in Virginia, was...

UBS buckles under uproar from brokers over non-solicit agreements

December 5, 2018

After causing an uproar earlier this year with its advisers and brokers, management at UBS Financial Services Inc. should be commended for coming to its senses, paying attention to its field force and reversing an unpopular policy that potentially...

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