The firm picked up a father-son team of Michael and Benjamin Cohen who previously generated $4.2 million in production at J.P. Morgan Securities.
Switching firms 10 years before you expect to leave the industry can provide an extra windfall – if done correctly
Advisers working in bank branches alleged that the firm misclassified them to avoid paying for time beyond the traditional 40-hour workweek.
Adviser Stephen Besse will be part of the firm's presence in northern California.
A Finra arbitrator who served on Finra panels for almost 15 years was removed after it was discovered that he is not a lawyer. He oversaw more than 40 cases. Were yours among them?
Wirehouse firms are revamping their succession programs with higher payouts and lower barriers to entry for advisers who are preparing to retire. The efforts are aimed at competing with independent firms that hold a reputation for the highest payouts.
Caving to pressure, UBS executives reinstated a popular manager after advisers talked of resigning. Mason Braswell has the story.
A Finra arbitration panel has ordered UBS Wealth Management Americas to pay one of its former brokers $5.4 million for representing structured products from Lehman Brothers as being suitable for clients even as Lehman began to falter.
Three advisers who produced $1.8 million joined RBC in Leawood, Kan.; one cites retirement of Danny Ludeman, former head of Wells Fargo Advisors, as contributing to move.
Brokers with international clients have been moving to competitors in recent months as Barclays curtails its international business.
