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  1. Articles

    Brokers face challenges in originating mortgages

    More financial advisers are becoming licensed mortgage loan originators as full-service brokerage firms look to be one-stop shops for wealthy investors, but some regulatory gray areas are causing concern.

  2. Articles

    UBS sees recruitment pay off in the fourth quarter

    With a year-end windfall of veteran advisers, the firm topped off a year of big gains. Check out how UBS stacks up against the other wirehouses.

  1. Articles

    Judge dismisses SEC complaint involving UBS Puerto Rico bonds

    In a win for UBS Financial Services Inc., an SEC administrative judge dismissed allegations that two leading executives in Puerto Rico committed fraud in 2008 and 2009.

  2. Articles

    Galvin eyeing Puerto Rican muni debt obligations

    Massachusetts securities regulators have begun to make inquiries about the sale of Puerto Rican municipal debt obligations to investors in the state, with the office of Secretary of the Commonwealth William Galvin last Wednesday saying that it had sent inquiry letters to Fidelity's FMR Co. Inc.;

  3. Articles

    UBS Puerto Rico funds plummet

    The value of proprietary closed-end-bond funds heavily invested in Puerto Rican municipal debt and created by a unit of UBS AG is plummeting, leaving the Puerto Rican arm of the firm and its 132 financial advisers there embroiled in a potentially lengthy fight with local investors who purchased the

  4. Articles

    UBS biggest wealth firm, study finds

    UBS AG, which is shrinking its investment banking business, overtook Bank of America Corp. to top a ranking of the world's biggest wealth managers compiled by Scorpio Partnership.

  5. Articles

    Cohan: Enough already, UBS deserves the death penalty

    Alleged Libor-rigging is the latest in a long series of scandals tied to the Swiss bank

  6. Articles

    UBS adviser suspected of shooting out windows with a slingshot and marbles

    A UBS investment adviser was arrested twice this month on suspicion of vandalism — smashing windows of businesses and offices in Beverly Hills and Encino, Calif.

  7. Articles

    How will Libor scandal affect wirehouse advisers?

    The unfolding investigations into manipulation of the LIBOR interest rate could be the next ugly story that wirehouse advisers will have to explain to clients.

  8. Articles

    Wealthy Americans line up to give up passports in Swiss capital

    Renouncements are up sevenfold in Bern since UBS whistle-blower triggered crackdown four years ago

  9. Articles

    Old home week as ex-Merrill execs join McCann on UBS super committee

    UBS AG Americas Chief Executive Officer Robert McCann named three former Merrill Lynch & Co. colleagues to help reverse a three-year slide in the Swiss bank's U.S. market share. Michael Stewart, Robert Mulholland and Brian Hull, who already work for Zurich-based UBS, will join a six-member

  10. Articles

    UBS goes after team that hitched up with Wells

    Company claims that the pair downloaded proprietary client info before exiting; computer scrubbing ahead?

  11. Articles

    Wealth management a bright spot for UBS in 2011

    The Wealth Management Americas division of UBS AG had a tough fourth quarter. The Swiss bank reported this morning that revenues in the division were off 5% from the third quarter, with earnings down 24% to $125 million. Then again, the wealth management unit's performance was not nearly as bad as

  12. Articles

    Ex-UBS client indicted for hiding accounts

    A former UBS AG client, Amir Zavieh, has been indicted by a federal grand jury on a charge that he defrauded the United States by hiding assets from the Internal Revenue Service.

  13. Articles

    McCann, rising at UBS, gets plum job

    UBS AG appears to be making good on its pledge to sharpen its focus on wealth management and rein in its investment banking operations.

  @IN Wire

Mar 07 10:29PM
10 professions that need the most coffee to survive - I Love Coffee
Mar 07 10:00PM
"J.P. Morgan Securities goes on recruiting offensive" good read

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