UBS AG

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  1. Articles

    Midwest financial adviser team with $463M in assets joins Wells Fargo

    Madison Street Financial Group specializes in corporate retirement plans and high-net-worth families.

  2. Articles

    UBS renews push to increase advisers' hedge fund use

    The wirehouse plans tools to explain the risks and benefits of hedge fund strategies to advisers whose allocations have been low.

  1. Articles

    Wealth management a growing force in bank fortunes

    Third-quarter earnings reports show that once again, wirehouses are driving revenue at the giant banks that own them.

  2. Articles

    UBS settles with Puerto Rico regulators for $5.2M over bond improprieties

    UBS Financial Services Inc. of Puerto Rico, a unit of UBS Wealth Management Americas, has agreed to pay $5.2 million to settle allegations by Puerto Rico regulators that the firm's brokers may have improperly placed clients into its proprietary closed-end bond funds.

  3. Articles

    Wirehouses challenged as retention deals fade

    Study estimates that between 12% and 20% of long-term packages signed after 2008 mergers will expire annually over the next four years.

  4. Articles

    Wells Fargo hires UBS team in Texas

    Wells Fargo Advisors has hired Robert “Bob” Higley and Robert “Bob” Gardner III from UBS Financial.They managed a combined $300 million in assets and had $2.5 million in production.The two joined the Memorial City, Texas, branch July 1. They bring a total of 61 years of industry experience to Wells

  5. Articles

    Indie reps happier at work than employee advisers: J.D. Power

    Independent advisers continue to be happier at work than their colleagues who are employees of broker-dealers but the gap in job satisfaction among the two groups is narrowing. See how your firm ranks

  6. 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.

  7. 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.

  8. 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.

  9. 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.;

  10. 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

  11. 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.

  12. 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

  13. 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.