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A FINRA arbitration panel sided with UBS, which sought damages for breach of promissory notes.
April 4 -
The team, comprised of three veteran advisors, generated about $11 million in annual revenue.
March 31
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The executive's promotion comes as a search is underway to replace retiring CEO John Taft.
March 31
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On Wall Street honors the industry's leading branch managers.
March 31
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Young advisors and other newbies in the industry may want to consider the succession route for success in wealth management.
March 31 -
Firms are offering lucrative packages for top producers. Here's what On Wall Street's annual recruiters panel has to say about landing the best offers.
March 31 -
The regional firm recruited four wirehouse advisors.
March 30 -
The self-regulatory organization acted out of concern for the client who might not be aware of the important factors relating to moving their assets with an advisor switching firms.
March 30
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The move fills a vacancy created by several recent promotions.
March 28 -
The acquisition appears to be progressing smoothly, but insiders caution that advisors can still change their minds between now and when the deal closes in September.
March 28
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Two advisors who left Merrill Lynch for Morgan Stanley have returned to the wirehouse.
March 28 -
The wirehouse was seeking to resolve class-action lawsuit alleging labor-law violations in advisor trainee program.
March 24 -
The ex-Merrill executive had been at the wirehouse for almost three decades.
March 24
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The former wirehouse advisor is the newest hire at Snowden Lane Partners, an independent firm.
March 24 -
The Bank of America unit that serves ultrawealthy clients picked a Merrill executive to oversee its Central North division.
March 23
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Raymond James is seeking to undo a fired advisor's arbitration win against the firm, arguing that a FINRA arbitration panel exceeded its powers.
March 23 -
The new recruits made the move to HighTower from Morgan Stanley and SunTrust.
March 22
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Although an arbitration panel sided against the wirehouse, it awarded her far less than the $476 million in damages she had sought.
March 21
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The veteran advisor joined the firm as Credit Suisse exits the U.S. wealth management market.
March 21 -
The advisor joined Wells Fargo's independent network.
March 21
