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Former baseball star Angel Pagan wins $1.7 million arbitration award against Merrill Lynch
Case revolved around investments in Puerto Rican bonds made by the former MLB star
All-woman team managing $335 million at Morgan Stanley moves to Janney
The five-person Dupre Keating Group joins offices in Pennsylvania and Delaware
Duo managing $194 million moves from UBS to Raymond James
James Ducharme, Michael Rowland join firm’s employee unit in Melbourne, Florida
UBS hires $10.8 billion team as net new client money in U.S. slides
The Swiss bank snags Wickham Cash Partners in Charlotte; reports $9 billion decline in net new money in Americas in Q4
Morgan Stanley eyes 1 million wealth management clients from stock plans
Technology push at Morgan Stanley comes into focus after Solium Capital acquisition
Merrill to continue focus on training over recruiting in 2020
Long the financial advice industry's leading trainer of young brokers, Merrill to renew attention on coaching
Goldman Sachs issues its first wealth management revenue total
At $4.4 billion, its financial advice business is small compared to brokerage giants
Wells Fargo loses more than 450 advisers in 2019
Expenses also increased at Wells Fargo Advisors, and the firm lost a clearing client
Finra probes brokerage bank sweep accounts as commissions dwindle
Expert: Interest rate discussions with clients ‘can be problematic’
UBS plans Miami office to work with Latin American firms
The Swiss bank is targeting billions of dollars managed by Latin American intermediaries booking assets in the U.S.
