Andrew Welsch is a former managing editor of Financial Planning.
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The brokerage’s fintech investments are intended to produce greater efficiency, attract new assets and bolster the bottom line, executives say.
November 20 -
The latest recruiting sweep included eight advisors in five states.
November 19 -
The firm alleges the advisors violated a non-solicitation contract, which they have denied doing.
November 16 -
The broker is the fifth advisor this month to part ways with Raymond James.
November 15 -
Brokerage firms have been filing more lawsuits against former employees over alleged violations of non-solicitation agreements.
November 14 -
The broker is part of a wave of new hires at the regional brokerage firm.
November 13 -
The regional BD continues to benefit from the ongoing stream departing the wirehouse.
November 12 -
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November 9 -
It’s the second big loss for Credit Suisse, which is fending off dozens of claims from former brokers claiming their compensation was withheld.
November 7 -
To sway a federal judge, both sides have tried to bolster their arguments by pointing to Facebook, joint production agreements, news articles and more.
November 7 -
Douglas P. Simanski allegedly told clients he would invest their money in a “tax-free,” fixed-rate investment, a rental car company and a coal mining firm.
November 6 -
A focus on productivity has resulted in attrition of lower producing brokers, the firm says.
November 2 -
The firm is working hard to lure advisors away from its larger rivals, said CEO Ronald Kruszewski.
November 1 -
The ruling bolsters firm’s bid to push employees into private arbitration system. The advisor intends to appeal.
October 31 -
It’s the second big hiring announcement by the regional BD within the past week.
October 30 -
The group includes several industry veterans, one of whom has 50 years of industry experience.
October 29 -
The firm’s broker ranks expanded to 7,813 independent and employee advisors, a new high.
October 25 -
“This is a chance to redesign core systems, some of which go back to PaineWebber,” says Tom Naratil, president of UBS Wealth Management Americas.
October 25 -
Clients have filed hundreds of similar claims against UBS since 2013, with aggregate damages of $2.6 billion.
October 22 -
Ex-advisor Dawn Bennett, who allegedly dabbled in voodoo-type witchcraft, was found guilty by a federal jury of defrauding investors.
October 17
