In a serious legal claim that raised eyebrows everywhere, a long-tenured UBS advisor has accused the firm of skimming commission-based fees from retirement accounts that he manages. In fact, he…
Something a bit weird occurred in Houston, TX a couple weeks ago. A clear and concise broker complaint, wrongful termination, and loan repayment case was dismissed - not on the merits,…
Merrill Lynch may be gloating about increased production across its broker ranks this holiday season, but that may not be because of the reasons you may think. A shrinking 'real…
The suits at UBS thought better of completely committing to a 'the beatings will continue until moral improves' policy come January 1 - instead choosing to delay (sort of) skyrocketing…
As the recruiting year heads to its close the patterns and rhythms in wealth management seemed to have accelerated. Not only are more teams making transitions, but larger teams are…
Whenever something of scale works at the wirehouses you can bet the others are going to do their best to copy it without making it look like they are copying…
Wells Fargo keeps digging its way out of the negative headlines and walking its way into the good graces of advisors and ultimately, clients. The announcement of a new head…
UBS Wealth has had a difficult time moving the needle of late. They’ve all but mothballed meaningful advisor recruiting and turned their sights on advisor retention (which isn’t going necessarily…