Economy

A 34-year old broker with high-net-worth tax specialty signs with Dynasty.

Dan Arnold says the firm remains interested if deals are a match for the No. 1 IBD.

At least 17 individuals invested $13 million in the scheme, and many lost 'substantial portions' of their life savings, prosecutors say.

CEO Sergio Ermotti said UBS had begun to cut costs following the merger of the U.S. and international wealth management divisions.

The bank promoted Denver’s regional leader of the business to oversee all aspects of Ascent Private Capital Management nationwide.

The firm achieved a record 7,719 independent and employee advisors in the second quarter.

Compensation related to financial advisor recruiting fell 22% for the second quarter.

Wealth Enhancement Group would grow to nearly 70 advisors nationwide under its second major purchase of the year.

The funds allegedly paid for summer camp fees and a 1976 Corvette.

The firm will move over to Salesforce’s CRM tool starting next year as part of an effort to boost efficiency with new technology.

The firm is looking beyond aggressive recruiting efforts that have netted 73 new advisors year-to-date.

Banking scandals are playing only a small role in advisor attrition, the firm says.

While the business is producing steady profits, the lender rejigged financial targets this year after investors argued Ermotti should do more to improve returns after the shares languished.

Congress is considering a proposal that would allow small companies to create a multiple-employer retirement plan to enable workers to build savings.

There’s no obvious reason to row back from the bank's strategic commitment to focus on wealth management while keeping a leash on the investment bank

When do promotional materials rise to the level of an official “recommendation” and thereby require additional disclosures by brokers?

The regional broker-dealer has stepped up its expansion this year.

The firms with the highest percentage growth year-over-year are cutting their head counts and fueling the record level of M&A deals.

John and Cary Kortze opened Steward Partners' 16th branch office.

Advisor attrition is up at the beleaguered firm, but it doesn't have to be.