Best Full-Service Investment Firms Ranked by Investors: J.D. Power — 2017
Overall satisfaction has risen across full-service broker-dealers, the survey finds, but robo-advisors present a clear threat.
UBS Taps Exec to Head New Sustainable Investing Push
As demand for socially responsible investing booms, the wirehouse adds to its leadership in this popular field.
HighTower Adds LPL Group in St. Louis
Meanwhile, a UBS team forms an RIA in Louisville and signs on with Raymond James' Investment Advisors Division.
Dynasty Lands $750M Wirehouse Group in Houston: Recruiting Roundup
Meanwhile, Ameriprise shares the names of its newest advisors; GW&K announces the names of recently tapped partners.
FINRA Panel Says UBS Must Pay $9M to Puerto Rican Muni Investor
The arbitration ruling comes just one month after an $18 million ruling, with more decisions expected.
Morgan Stanley Grabs $4.6M Merrill Team
The recruiting news comes as the rival wirehouses take divergent paths with their post-fiduciary rule strategies.
UBS Hit With Second $18M Ruling Over Puerto Rican Munis
The ruling includes $4 million in punitive damages, while the prior award is being challenged in court.
How Outside Business Activities Doomed a UBS Advisor
Phil Fiore was involved in a utility, which created a complicated regulatory situation for the now-fired registered rep.
Wirehouses Reps Move to Baird, RBC: Recruiting Roundup
Meanwhile, two LPL-affiliated wealth firms with $2 billion in combined assets plan to merge.
LPL Continues Strong Recruiting Drive in Q3
A large number of advisors moved to the IBD from Cetera, Wells Fargo and Edward Jones.