Lorie Konish

Emerging Global Advisors named former UBS Wealth Management Americas CEO Marten S. Hoekstra as its new chief executive.

Charles Slater and Bryan Nunberg both join Bank of America from Morgan Stanley.

Led by a former Morgan Stanley Smith Barney exec, the company will target family clients.

The Securities Industry and Financial Markets Association spells out the unintended consequences of the proposed regulation.

Stephen Campbell joins Citi Private Bank after serving as chief investment officer at Zefram LLC, the personal investment company of Amazon.com founder Jeff Bezos.

A new research report from Aite Group found that banks should look to provide better multi-channel offerings to compete with online brokerage firms for mass affluent clients.

The Securities and Exchange Commission has approved an all-public panel option for FINRA arbitrations. But that could result in more costs for all sides to pay for expert witnesses, one expert said.

UBS has hired a team of five new advisors from U.S. Trust to serve in the firm’s new private wealth management office in Charlotte, N.C.

Baird has tapped three new professionals from the Gawelski Group to bring its Milwaukee wealth management group to 69 total.

The U.K.’s Financial Services Authority fined the firm $1.77 million on Wednesday, bringing its total fines against the firm this month to $13.97 million.

A slow recovery on the U.S. front will likely mean that the Federal Reserve will not raise rates this year

The number of securities lawsuits filed in 2010 increased, despite a drop in new suits related to the credit crisis, according to a new report.

UBS plans to hold its branch managers and complex directors to stricter standards for individual measurements for their bonuses in the coming year.

Wells Fargo’s fourth quarter revenue rose to $3 billion for its wealth, brokerage and retirement business, a 15% gain compared to 2009.

But will a new self-regulator be the new reality?

The Bank of America-owned private wealth management business has added five new advisors to its southeast and eastern divisions in its bid to serve ultra-high net worth clientele.

MSSB and Wells Fargo have reached into each other’s advisor forces for two new wealth advisor appointments

The Bank of America unit Trust has appointed five new advisors in Illinois and Texas to focus on ultra-high net worth clients.

HighTower has expanded its New York team by merging with the business of Steve Bogner, a former Morgan Stanley Smith Barney advisor who manages $80 million in client assets.

Morgan Stanley CEO James Gorman announced in a Jan. 6 company memo that three executive roles would shift as the firm sets out to expand its business in Europe, the Middle East and Asia.