Results for "ubs"
Displaying 2,186 results
August 22, 2019
A group of investors who bought Puerto Rico bonds and closed-end funds won a $4.4 million arbitration claim against UBS Financial Services Inc. and its related business in Puerto Rico. The three investors and related trusts and businesses initially...
August 7, 2019
Cary L. Hall Jr., who managed $160 million at UBS in Princeton, N.J., has created CLH Wealth Management. (More: See more adviser moves in InvestmentNews' Advisers on the Move database.) Mr. Hall will use the broker-dealer and corporate registered...
March 13, 2014
John Mathews, head of private wealth management at UBS, shares how the firm's private wealth unit is contributing to its overall performance and why luring ultra high net worth clients is so important now.
March 13, 2014
Advisers who can identify the passions of ultra high net worth clients also tap into what's really important to those individuals. John Mathews, head of private wealth management at UBS, talks about how adivsers can anticipate those needs.
July 12, 2019
UBS Global Wealth Management is continuing to selectively hire financial advisers, with brokers recently joining the firm in San Francisco and New York. In June, UBS hired Mariia Eroshin in San Francisco. She had most recently worked at Citigroup...
July 23, 2019
UBS on Tuesday reported a year-over-year decline of 248 financial advisers, or 3.6% of the global bank's financial adviser workforce in the Americas, as of the end of the second quarter. The Swiss bank reported 6,689 financial advisers at the...
March 13, 2014
Serving ultra high net worth clients should be more holistic than just providing investment advice, according to John Mathews, head of private wealth management at UBS. Here he talks about how the firm's advisers can leverage the entire institution.
March 16, 2011
InvestmentNews' Andrew Osterland details what he's hearing from industry sources about a possible purchase of USB Wealth Management Americas by Wells Fargo Advisors.
June 27, 2019
A team led by Craig Findley, which managed $1.5 billion at UBS in Toledo, Ohio, has formed Venture Visionary Partners. The RIA, which has 11 professionals, will use Schwab as its custodian, Purshe Kaplan Sterling Investments as its broker-dealer...
June 12, 2019
The Financial Industry Regulatory Authority Inc. has barred former UBS representative and branch manager Nicolas Barrios for declining to take part in an investigation into alleged trading away activities. (More: UBS confronts 'one of the...
April 5, 2019
UBS Wealth Management USA is modernizing the way it develops new technology and has a new client-facing portal to show for it. Clients can use the new UBS iPad app as a singular tool to manage nearly every aspect of their financial lives, from...
March 20, 2019
UBS Group AG Chief Executive Officer Sergio Ermotti delivered a catalog of bad news on the first-quarter performance on Wednesday. That the world's largest wealth manager is also prone to revenue swings was probably the most alarming. Describing...
May 13, 2019
Four advisers and their three staff members, who managed $530 million at UBS in Portland, Maine, have formed Great Diamond Advisors, a hybrid. The firm will use Purshe Kaplan Sterling Investments as its broker-dealer and Schwab as its custodian....
May 1, 2019
UBS Group AG is telling executives in its large wealth management business to be more selective when hiring bankers as it seeks to cut costs following a challenging first quarter, according to people familiar with the matter. The bank has introduced...
February 22, 2019
UBS Group AG Chief Executive Officer Sergio Ermotti said the bank will prioritize protecting its dividends if it can't get out of paying a massive fine imposed in a French tax-evasion case. "We need to consider our business outlook, including...
February 20, 2019
UBS Group AG's decision to fight a tax case in France, rather than settle it, led to a nasty surprise. Switzerland's biggest bank was ordered to pay more than $5 billion Wednesday over a tax-evasion case in France — matching what was sought...
May 1, 2019
Lori Siegel and Robert Russo, who managed $300 million in assets at UBS in Houston, have formed Centrix Wealth Partners and affiliated with the independent unit of Raymond James. Their three associates at UBS are joining them at the new firm....
April 25, 2019
Rich Asians came to the rescue of UBS Group in the first quarter after CEO Sergio Ermotti's dire outlook on market conditions sent investors into shock and investment banking revenue plummeted. Wealthy clients in the Asia-Pacific region accounted...
April 26, 2019
Mark Scaglione, who managed $166 million in assets at the Tampa, Fla., office of UBS, has joined Stifel Nicolaus there. (More: See more adviser moves in InvestmentNews' Adviser on the Move database.) A veteran adviser, Mr. Scaglione began...
February 12, 2019
The four-adviser Vilfordi team, which managed $314 million at UBS in Dallas, Texas, has joined the employee channel of Ameriprise Financial. (More: Five-member FiNet team managing $360 million moves to LPL) The team is headed by George Vilfordi...
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