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Christine Carona's former boss allegedly made derogatory comments about her personal life in front of UBS employees, according to the arbitration ruling.
October 29
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More than 400 advisors joined regional BDs last year, according to hiring announcements and BrokerCheck data.
October 28
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The departures include a team that managed $380 million.
October 25
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The policy shift affects the wirehouse’s separately managed accounts.
October 23
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Her hospitalized client's accounts had more than $14 million in transactions over a nine day period, according to FINRA.
October 23
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New recruits hailed from firms including Wells Fargo, Merrill Lynch and Raymond James.
October 17
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The firm's compensation plan, which is to remain unchanged for 2019, has turbocharged advisor productivity, an executive says.
October 16
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The “get” marks one of the largest hires the year for the regional BD.
October 16
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The bank has lost a net 1,300 advisors since a fake accounts scandal came to light three years ago.
October 15
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The advisors joined the regional BD from UBS.
October 11
