Displaying 333 results
UBS team managing $738 million near Detroit leaves for Raymond James
Eleven-member group will join RJ's employee unit in Birmingham, Mich.
UBS prepares for impact of massive $5 billion fine
CEO Sergio Ermotti says bank will prioritize protection of its dividends.
UBS at risk after $5 billion surprise penalty
Penalties dwarf what bank set aside for legal issues and exceed earnings for all of last year.
UBS eschews $6 billion settlement in French tax investigation
An acquittal would undercut PNF credibility because of large fines requested.
Three-adviser team managing $730 million leaves UBS for Stifel
Group will open office for firm in downtown Cincinnati, Ohio.
Team managing $314 million leaves UBS for Ameriprise
Four-adviser Vilfordi team joins employee arm in Dallas, Texas
UBS dinged by Virginia after broker recommended gold and precious metals securities
The overconcentration of securities was not suitable for some clients, Virginia alleged.
UBS Wealth embraces exotic strategies to battle market headwinds
The strategy draws inspiration from fast-money playbook beloved by hedge funds.
UBS sues Ohio National over lost variable annuity commissions
Wirehouse joins handful of other firms seeking to prevent insurer from cutting off flow of adviser trails.
UBS hit with $15 million in fines, penalties for AML problems
Securities and banking regulators are continuing to focus on anti-money laundering procedures and policies.
UBS names new head of US wealth unit, seeks to capture more American billionaires
Jason Chandler will take over from Brian Hull on January 1, overseeing about 7,000 advisers.
UBS buckles under uproar from brokers over non-solicit agreements
The firm's shift in policy this week puts spotlight on the fight over who controls the client.
UBS Global Wealth Management will give ESG scores to funds
Assets under management with environmental, social and governance strategies have grown 44% over two years in the U.S.
Large broker-dealers expand how they work with small 401(k) plans
UBS, Morgan Stanley, Raymond James, LPL and Merrill Lynch are among the B-Ds giving retirement plan advisers more ways to offer fiduciary investment services to 401(k) plans.
Finra suspends former UBS broker who traded excessively in elderly clients’ accounts
The broker, David Fagenson, racked up hundreds of thousands of dollars in commissions from the trades.
Art wealth management course comes with CE credits from CFP Board
The program is an introduction to the art market from an investment perspective.
UBS CEO promises to boost wealth management profits
In third quarter, bank's global wealth management unit saw pre-tax profits rise 3%
UBS loses $20 million arbitration award over Puerto Rico investments
Award is the largest penalty for UBS involving the Caribbean island to date.
Managing wealth of the world’s richest is still a man’s domain
Study reveals only 14% of family offices have diversity targets.
High times for ultra-high-net-worth families
Average returns in 2017 double those in 2016, according to UBS and Campden survey.
