UBS Earning Get Kicked In The ARS! U.S. Wealth Mgt Unit Profit Wiped Out By ARSFeb 10, 2009,By John Churchill UBS announced a fourth quarter loss of U.S. $7.5 billion today, capping a horrendous year for the Swiss firm. ... In First Media Interview, McCann Says Resignation Was At A "Logical Time"Feb 10, 2009,By Brooke Southall Merrill Lynch has been on a wild roller coaster ride since Bank of America stepped in to save the franchise on September 15 with an all-stock offer worth $50 billion.... Registered Rep. Round Up: Madoff Settles Civil Case, O’Neal’s Estate Planning Secrets RevealedFeb 9, 2009,By David A. Geracioti File this under “Financial Planning 101.” What to do when a big client’s big bonus and severance package may be the future legal target of disgruntled employees and shareholders? ... TD Regains Swagger In VegasFeb 6, 2009,By Brooke Southall TD Ameritrade Institutional executives, in Las Vegas for the firm's annual conference, have got their swagger back this year after spending last year's event sounding contrite.... SEC, FINRA, Hit Hard By Markopolos TestimonyFeb 4, 2009,By John Churchill Harry Markopolos, the famously ignored Madoff whistleblower whose well-informed and detailed warnings about Bernard Madoff were disregarded for years by regulators, testified before House Financial Services Committee today that the SEC is “incompetent,” among other things. ... Wachovia-UBS Hookup Rumored but UnlikelyFeb 3, 2009,By John Churchill Here’s a possible new twist in the changing financial services landscape: A report in the New York Post raises the possibility of a “joint venture” between the wealth management divisions of Wachovia Securities and UBS. A lot of questions need answering before this one pans out. ... EJ Employees Are Lovin’ ItFeb 3, 2009,By Christina Mucciolo Edward Jones is having an awfully good run, according to the firm’s fan base, er, its employees. ... BofA's Lewis In Dissidents' SightsFeb 2, 2009,By Kristen French Just months ago, he was heralded as banker of the year by American Banker for his deal to acquire Merrill Lynch. ... Schwab To RIAs: Expect Strong Service Despite SlowdownFeb 2, 2009,By Brooke Southall Schwab's CEO, said all the things that registered investment advisors would want to hear from their asset custodian chief on Thursday during an earnings call with analysts. ... The Mystery Of John Thain's Office ContinuesJan 28, 2009,By John Churchill Just what the heck did Stanley O'Neal do to his office? ... Merrill Cuts TraineesJan 28, 2009,By Halah Touryalai Let the penny pinching commence! ... Merrill Chief Sontag Vows “To Restore Pride”; Brokers Ask, Hey, Sontag, Where Is My Bonus and Junket?Jan 28, 2009,By John Aidan Byrne Daniel C. Sontag, chief of Bank of America’s newly-acquired wealth management division (i.e. Merrill Lynch), fielded some tough questions Monday from miffed Merrill Lynch financial advisors. ... Citi: Suffering Some Serious “Jet Nag”Jan 27, 2009,By Kristen French That fancy corporate jet Citi ordered a few years back for 2009 delivery? Cancelled. ... Citi In The SkyJan 26, 2009,By Kristen French Pity working in the Citigroup public relations office—or being a Citi executive. ... New Head, But Same Old Mission For Merrill's RetailJan 26, 2009,By John Aidan Byrne Bank of America named general counsel Brian Moynihan, an executive well versed in legal and business principles, to replace John Thain. ... Raymond James Lookin' Good—But For How Long?Jan 23, 2009,By Halah Touryalai The folks at Raymond James have something to smile about—for now. ... FINRA Frisks Select B/D RIAsJan 22, 2009,By Christina Mucciolo B/D RIAs have come under fresh scrutiny post Madoff. ... Thain Departs BofA—An $87,000 Rug? Say It Ain't So, John! Client AUMs Fall By 30 Percent In 2008Jan 22, 2009,By John Churchill John Thain, former CEO of Merrill Lynch and the man who engineered the sales of the storied Wall Street firm to Bank of America in September, is leaving the combined firm "immediately," according to a report from CNBC. ... Dropping Client Assets And Jet FleetsJan 21, 2009,By Christina Mucciolo Citigroup, which reported a whopping $8.29 billion fourth-quarter loss on Friday, should take a harder look at its balance sheet. ... Citi's Global Wealth Mgt Unit: Retail Clients Flee; Merrill Drags DownJan 16, 2009,By John Churchill Everybody knows that Citigroup announced yesterday it was putting itself out of its misery. ... Schapiro’s Replies: Blame The SEC—Not FINRA—For MadoffJan 15, 2009,By Karen Donovan It wasn't my job, man.... Are We Mostly Crooks? High-Flying Fraudster (Literally) Equals More Bad Publicity For Financial Advisory ProfessionJan 14, 2009,By John Churchill Marcus Schrenker is no Bernie Madoff, that's true. ... Schapiro, FINRA Head And Obama's SEC Chair Selection Head To D.C. Tomorrow For A Confirmation HearingJan 14, 2009,By Karen Donovan Mary L. Schapiro heads to Capitol Hill tomorrow morning for the hearing on her Senate confirmation as President-elect Barack Obama's nominee to chair the U.S. Securities and Exchange Commission. ... Citi, Morgan Stanley Agree To Form Joint Venture; Reps Will Receive Retention Bonus—Gorman Says: “We’re Not Stupid”Jan 13, 2009,By David Geracioti It’s official: Morgan Stanley will pay $2.7 billion to acquire a 51 percent stake in Smith Barney, Morgan Stanley and Citigroup management told Registered Rep. this afternoon. The agreement was signed today. The deal will close in about six months, says Morgan Stanley Co-President James Gorman. ... Citi Grabs a Lifeline, Morgan Stages a CoupJan 12, 2009,By Halah Touryalai Despite a $45 billion capital injection from the government in 2008, Citi is in dire enough need of capital that it is planning to spin off its retail brokerage operation, Smith Barney, according to reports, in a joint venture with cross-town rival Morgan Stanley. At least one analyst says Citi also hopes the deal will save Smith Barney, where disgruntled advisors and clients are said to be exiting. ...
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Blogs & OpinionGet the latest from Registered Rep. Editor-in-Chief David A. Geracioti on his blog Von Aldo.
Get the latest from Registered Rep. Managing Editor Kristen French on her blog The Reformation.
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