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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.
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.
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.
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.;
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
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.
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
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.
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.
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
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
UBS goes after team that hitched up with Wells
Company claims that the pair downloaded proprietary client info before exiting; computer scrubbing ahead?
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
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.
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.
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February 27, 2014