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UBS

Oct 25, 2018

In the News: Fired UBS Broker Gets to Keep Half-Million-Dollar Note Balance

It was reported yesterday in AdvisorHub (Fired UBS Broker, a Hunting Show Host, Gets to Keep His Half-Million-Dollar Note Balance by Mason Braswell) that UBS was unable to enforce repayment of the outstanding balance on its promissory note in a FINRA arbitration against a broker it terminated for allegedly violating conflict of interest policies – failing to disclose client relationships. » Read More

Nov 29, 2017

In The News: UBS Exits Protocol for Broker Recruiting

Yet another departure:  UBS Wealth Management Americas has followed in Morgan Stanley’s footsteps and announced its exit from the Protocol for Broker Recruiting on Monday, effective this Friday, December 1. However, prior to this announcement, UBS was ready to onboard at least two Merrill Lynch brokers still protected by the pact. » Read More

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