UBS Wealth Management

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  1. Articles

    Finra gets arbitration process back on track in Puerto Rico

    After several months of deliberations, Finra has expanded its pool of arbitrators and is ready to move forward with the hundreds of complaints related to collapses in Puerto Rico bond funds. That doesn't necessarily mean smooth sailing.

  2. 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.

  1. Articles

    UBS, Merrill push to keep bond fund hearings in Puerto Rico

    In confidential meeting, firms' attorneys oppose allowing arbitration cases to be heard in Southeast venues.

  2. Articles

    Finra freezes new arbitration cases in Puerto Rico

    Finra freezes new arbitration cases in Puerto Rico as a flood of claims sends the regulator scrambling to find more arbitrators. Bruce Kelly has the story.

  3. Articles

    Wirehouses sweeten succession deals for retiring advisers

    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.

  4. 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.

  5. Articles

    UBS Puerto Rico closed-end muni investors losing billions

    UBS Puerto Rico closed-end muni bond fund investors are losing billions; new research pegs losses at $1.66 billion over the first nine months of 2013.

  6. Articles

    UBS Puerto Rico faces 'Whopper' of a problem over muni bond funds

    The woes stemming from UBS AG's unit in Puerto Rico over the sale of local, closed-end municipal bond funds have landed squarely in the lap of UBS brokers and financial advisers in the island commonwealth.

  7. Articles

    UBS recruits three more teams from Merrill in SoCal

    UBS announced Friday that it added three teams to its Newport Beach, Calif., complex who managed $1.63 billion in client assets at Merrill. The advisers' production was not disclosed.

  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

    UBS hires upstate New York father-son adviser team managing $144M

    UBS hires father-son adviser team managing $144M from rival wirehouse Morgan Stanley Wealth Management.

  10. Articles

    Wealthy investors changing definition of age and retirement: Study

    Affluent investors embrace a broader definition of youth, changing their retirement needs

  11. Articles

    Two teams join Wells from rivals

    Wells Fargo Advisors LLC has landed two teams of financial advisers managing nearly half a billion dollars in assets, a spokeswoman for the firm said last Monday. Scott Dickerson, Darrell Jones and John Phillips joined the Wells Fargo Advisors branch in Salt Lake City from UBS Wealth Management

  12. 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.

  13. Articles

    An adviser's adviser invigorates UBS

    Robert Mulholland has breathed new life into the adviser ranks of UBS since the wirehouse's low point in 2009. It hasn't been easy. | How does UBS rate with customers?

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"J.P. Morgan Securities goes on recruiting offensive" good read

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