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A former UBS broker was ordered to pay back the wirehouse $1.75 million of his recruiting bonus the third such million-dollar judgment against him this year.
October 9 -
When it comes to compliance, do-it-yourselfers must build policies and procedures that can protect the firm. But as practices grow, seeking outside assistance may be necessary.
October 9
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CFP Board drops investigation into activist planner after he drops CFP certification.
October 9 -
FINRA barred a Chicago-based broker after it was discovered he transferred over $1 million from client accounts into his own over a number of years.
October 8 -
Deutsche Asset & Wealth Management hired a new regional executive from J.P. Morgan.
October 8 -
Deutsche Bank AG, the German lender that has pledged to improve controls after criticism from regulators, hired Elizabeth J. Ford from Goldman Sachs Group Inc. as head of compliance for the Americas.
October 8 -
An advisor pair that jumped to Merrill Lynch after just four months with Barclays must pay back over $6.6M in hiring bonuses, FINRA rules.
October 7 -
The deal will help Gratus Capital Management 'turbo charge' growth, says Focus cofounder Rajini Kodialam.
October 7
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Raymond James reshuffles its divisions, leading to several management appointments.
October 6 -
A UBS advisor managing $108 million in assets has left the wirehouse to join rival firm Merrill Lynch.
October 6
