UBS

The Narragansett Bay Group in Providence, which specializes in serving the ultra wealthy, intergenerational wealth and business owners, has moved to UBS.

Two panels of experts explained why family relationships, financial literacy and trust are so important to the coveted niche of clients.

The Swiss bank's cancelled $1.4 billion acquisition of the robo-advisor means extra money for shareholders.

The wirehouse fabricated the terms of its recruiting bonus loan and client churning allegations against Anil Bhandari, he said in his first interview on the case.

Lower advisory assets and regulatory matters combined to offset the wirehouse’s rising interest revenue in the second quarter.

Alongside other firms recently disclosing major regulatory cases, the Swiss bank is cooperating with an investigation by the SEC and CFTC.

The move could set him up as an eventual successor to CEO Ralph Hamers.

Some of the wirehouse's advisors marketed and sold a complex options trading vehicle without adequately understanding its risks, according to the regulator.

UBS Head of Sports and Entertainment Wale Ogunleye is sharing best practices for advisors who assist stars in managing their requests for financial support.

Critics of FINRA’s current system for removing client complaints from brokers’ records are seeking to vacate an arbitration award.

The wirehouses respectively ran afoul of requirements related to two industry recordkeeping systems over roughly three years, according to FINRA.

After agreeing to purchase Wealthfront during the first quarter, CEO Ralph Hamers says the firm is eyeing more opportunities in the U.S.

Despite notable rises and falls in the rankings, the study’s findings about comprehensive advice give every wealth manager an opportunity for improvement.

The firm and a former rep recommended a course of actions that helped the wirehouse and hurt the customer, according to the FINRA arbitration case.

A new high in loan volume and a notable influx of advisory AUM drove the wirehouse’s business to more than half a billion dollars in second-quarter net income.

The wirehouse is the latest firm to have its financial advisors called out publicly by the regulator for disregarding warnings about holding the ETNs for a long time.

Goldman Sachs Group strategists recently noted U.S. money market fund assets ballooned to a record $5.5 trillion during the pandemic, showing there’s a lot of cash on the sidelines.

Wall Street’s remote-work wars intensify as Citigroup commits to a flexible policy with some days at home.

The wirehouse seeks a recruitment edge over Wall Street banks taking a more hardline approach to in-office days.

The 10-person practice, rebranded as Puzzle Wealth Solutions, is led by CEO John Klaas and COO David Millington.