Wirehouse Firms
Learn the ins and outs of the wirehouse channel, including news, analysis and more on Bank of America-Merrill, Morgan Stanley, Wells Fargo and UBS.
UBS Advisor's Rules: No Account Minimums, No Jerks
By Jane Wollman Rusoff"I turn down very large opportunities all the time" if the client isn't a good fit, Jason Katz, who advises celebrities and athletes, tells ThinkAdvisor.
October 04, 2019
FINRA Board Approves Expungement ChangesFINRA approved creating a roster of arbitrators with enhanced training to decide whether to expunge customer complaints about brokers.
October 03, 2019
5 More Places to Look for ProspectsYou can add prospects just by adapting what you're already doing.
October 02, 2019
E-Trade Is Latest to End Online Trading CommissionsNot to be outdone, E-Trade is cutting its fee on options contracts, too.
October 02, 2019
Number of BDs Continues Steady Decline, FINRA Report ShowsThe report "is further evidence of the decline of the broker-dealer model," said former FINRA enforcement chief Bennett.
October 02, 2019
FINRA Slaps UBS With $2M Fine for Repeat Muni ViolationsUBS failed to timely address municipal short positions and inaccurately represented the tax status of thousands of interest payments to customers.
October 02, 2019
How a UBS Exec Gets Families to Open Up About Wealth TransferJudy Spalthoff of UBS tells ThinkAdvisor some tools and techniques to guide these conversations — including a card game.
September 27, 2019
Pressure Is On as Wells Fargo Names New CEOCan Charles Scharf restore the firm's reputation after years of scandals?