UBS

"I lose years of my life. They can settle, write a check and move on," says an adviser whose book of business dropped by $40 million after he alleges he was wrongfully terminated.

Collectively, this year’s mega movers managed more than $23 billion in client assets.

The team accused the firm of preventing them from properly conducting business with their clients, a charge that a FINRA arbitration panel rejected.

The new recruit generated $1 million in annual revenue.

The advisers are the first to obtain startup capital from the firm.

Robo advisers may have found the answer to a lingering problem for the financial industry: serving the mass-affluent in a profitable way.

A FINRA panel ordered the wirehouse to pay damages to two former clients who invested in Puerto Rican municipal bonds and closed-end funds.

The planners left J.P. Morgan, UBS and Merrill Lynch to go into business for themselves.

The new hires come from RBC, UBS and First Republic.

Two industry veterans joined the fast growing regional brokerage firm.

CEO Sergio Ermotti pledged that cost-cutting efforts are to continue.

Wirehouse system and supervisory failures are just the start.

A new pilot program will test whether clients will be drawn to a voice-controlled technology the retailer's customers know as Alexa.

A $2.2 billion Morgan Stanley team's move to independence shows how breakaways use shell companies to take advantage of the legal pact, and why more than 1,500 firms have signed on.

The great wealth transfer might be here, but the top 1% of the 1% are in jeopardy.

Aging billionaires are expected to transfer approximately $2.1 trillion to their heirs over the next 20 years, according to a new study by UBS and PwC.

The regional firm’s latest recruit joined its employee channel after 17 years at the wirehouse.

A father, son and daughter leave the wirehouse to form their own business.

The first-ever case of its kind is putting other broker-dealers on notice about the regulator's enhanced abilities to identify patterns of abuse.

Punished by the plunge in the energy sector, some advisers await a rebound that can take advantage of master limited partnerships’ tax status.