UBS to Pay $4.6 Million to Settle Over Unregistered Assistants

WEALTH MANAGEMENT MADE PERSONAL DAILY Home   |   Discussions   |   Blogs   |   Advertise   |   Subscribe FOLLOW US: August 26, 2013 UBS to Pay $4.6 Million to Settle Over Unregistered Assistants UBS will pay $4.58 million to settle an investigation by regulators into whether its sales assistants were licensed in states where they did business. read more » Why Every Advisor Needs a Business Plan Time and energy are an advisor's two scarcest resources. Adding performance goals helps allocate these resources and transforms a business plan into a living document that can meaningfully contribute to greater success. read more » How Advisors Can Rebuild Trust Five years after the meltdown, advisors still face a crisis of confidence. read more » Turn On Your Favorite Channel Rethinking Retirement -  For breaking news, targeted insights and expert coverage of retirement, visit On Wall Street's Rethinking Retirement Channel now - and everyday! Winning Over Clients With Events Here's how to host an event that builds client business and referrals—without all the awkwardness read more » Research Roundup: Risks, Reactions and Over-Reaction Risks For long-term investors, it is important to look past the knee-jerk reaction of markets to economic data and events and keep a focus on long-term trends. - David Kelly, J.P. Morgan Funds read more » Must Read Advisor Picks: 20 Must-Read Books After a strong response to our summer reading list for advisors, we decided to expand it. Here are the 20 books that financial advisors said -- via Twitter, LinkedIn, emails and phone calls -- were crucial to their practices. read more » Must Watch Lessons From D.A. Davidson’s Merger with Crowell Weedon D.A. Davidson’s Chairman and CEO Bill Johnstone discusses the growing importance of scale for smaller, regional broker-dealers. read more » Contact Us Samantha Allen samantha.allen@sourcemedia.com Senior Digital Editor Phone: 212.803.8752 Mark Lynch Mark.Lynch@sourcemedia.com Associate Publisher Phone: 781.626.4001 Videos Selecting the Right Advisor Coach Succession Planning for Business Owners How To Overcome Fear of Technology Planning 2023: What's Ahead? Advances in Mobile Technology Slide Shows 20 Ways to Improve Your Practice Breaking Down the Top 100 Branch Managers Volatility Strategy: 10 Key Messages for Wary Investors Unravel Alternative Investment Myths Top 10 Products Among Institutional Investors Web Seminars The Four Essential Steps to Becoming an RIA. Helping Clients Rethink a Risk-off Mentality Turnkey Sales Programs: How to distinguish a ‘good story’ from a true growth opportunity. © 2013 SourceMedia. All rights reserved. You are currently subscribed to onwallstreet.com as: buzzhairs.finance@blogger.com. Send this eNewsletter to a friend: Click here Unsubscribe from this mailing list: Click here Update your Profile: Click here To unsubscribe to other SourceMedia posts contact our Customer Service department at the phone number provided below. SourceMedia One State Street Plaza, 27th Floor New York, NY 10004 Phone: (800) 221-1809