Miguel Barbosa, Alfonso Barros, Carlos Rodriguez-Aspirichaga, Juan Calderon, Ricardo Mendez
Adviser/team AUM: $30,000,000,000
|Firm leaving||JPMorgan Chase & Co.|
|Firm joining||UBS Financial Services|
New York, NY
|Date||March 23, 2018|
Latest Moves to UBS Financial Services
|Miguel Barbosa, Alfonso Barros, Carlos Rodriguez-Aspirichaga, Juan Calderon, Ricardo Mendez||March 23, 2018|
|Brad Frederickson, Jeff Frederickson||February 14, 2018|
|James Schillaci, Kevin Johns, Brian Wenstrup||November 30, 2017|
Disclaimer: The moves in this database come from a number of sources: InvestmentNews and other media reports, press releases, and direct submissions that have been reviewed by InvestmentNews. Any corrections, updates or clarifications should be e-mailed directly to the IN staff.
Fred Barstein, founder of The Retirement Advisor University, explains why the old way of doing business is dead no matter what happens with the regulation.
Latest news & opinion
Some say the rule will clear up investor confusion, but others say the SEC didn't go far enough.
We sifted through the nearly 1,000-page proposal and picked out some of the most important points.
75-year-old owner Arthur Grant positions the IBD for the 'next 33 years.'
The proposed rule puts new restrictions on brokers, but it is still unclear how strongly the SEC is clamping down.
Commission says a lot of work ahead, public will have 90 days to comment.