Lorie Konish

Financial advisors Richard Freedman and Laurence Bricmont have been registered with UBS since May 19, according to records from the Financial Industry Regulatory Authority.

The Financial Industry Regulatory Authority has ramped up its efforts to detect fraud and better work with investors and firms, its management team said on a panel Wednesday.

FINRA Chief Executive Richard Ketchum said firms need to have strong internal vigilance as the self-regulatory organization plans to step up its examination processes.

By listening to what individual investors are saying, wealth management firms can better serve various age demographics and clients, Bank of America President of Global Wealth Investment Sallie Krawcheck said at a FINRA panel.

UBS Wealth Management Americas Chief Executive Robert McCann said the firm is not in talks with Wells Fargo and is committed to that business.

Frank LaRosa, a senior vice president and office manager at Morgan Stanley Smith Barney’s Philadelphia branch has been terminated, a firm spokesman confirms.

The new recruits previously handled $1.5 billion in assets under management at Bank of America Merrill Lynch, Citi Private Bank, Morgan Stanley Smith Barney and Oppenheimer Holdings.

Myriam Soto and Douglas Schaenen will serve in new managing director roles, working to help expand BNY Mellon’s international wealth management business.

Shawn Liebel and Kevin Forney join Morgan Stanley from UBS, while Robert Coloret and Mark Delmar join from Ameriprise.

New rules targeting broker-dealers could mean new exams for certain management professionals and new standards for SEC inquiries.

As individual investor concerns turn to the broader economy, the U.S. can do more to ensure continued economic strength, according to a new report from UBS Wealth Management Americas.

Morgan Stanley’s Steven W. Stroker will lead Baird’s wealth management offices in the central region.

Stifel’s global wealth management business rose to $238.4 million from last year, while its institutional group’s results fell from the fourth quarter.

Wells Fargo failed to promptly send prospectuses to certain mutual fund customers and update records for representatives employed by the firm, FINRA said.

Timothy W. McNamara has been registered with UBS’ Williamsville, N.Y. office since April 28.

Banks need to be prepared to show documentation of their processes as standards change under the Dodd-Frank legislation, a panel of financial industry experts said on Wednesday.

A former UBS team including four financial advisors joins Morgan Stanley Smith Barney in New York, while a two-member Bank of America Merrill Lynch financial advisor team joins in Newport Beach, Calif.

Thomas Phillips has been registered with Wells Fargo Advisors since April 29.

William McKenna is the latest of a series of additions to UBS’ advisor ranks, having become registered with the firm on April 28.

Emotions are mixed near the site of Sept. 11.