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Registered Rep. April 5, 2006 John Churchill	UBS Wins Prominent Black Rep From Smith Barney In what can be considered a coup of sorts for the firm, UBS hired a prominent black Smith Barney broker this past winter -- while it was under fire from a lawsuit brought by former brokers alleging a pattern and practice of racial discrimination.
Registered Rep. January 9, 2008 Halah Touryalai	Smith Barney Snags Three Advisors From Rivals Smith Barney has started off the new year right with a recruiting victory. The firm recently hired three Merrill Lynch reps and one UBS advisor.
Registered Rep. May 1, 2005 John Churchill	Class-Action Threat Smith Barney is facing a new round of sex-discrimination suits.
Registered Rep. February 23, 2007 Kevin Burke	Disgruntled Smith Barney Brokers Are Voting with Their Feet Sixty-nine brokers left Smith Barney, just ahead of a three-day weekend. Fridays before a long weekend are historically prime times for unhappy brokers to make a clean break, but the large number of brokers taking off on a single day is alarming.
Registered Rep. October 9, 2008	Smith Barney Closing Branches, Letting Managers Go As part of a larger cost-cutting effort, Smith Barney is consolidating some of its branch offices and laying off a number of its branch managers.
On Wall Street December 1, 2008	Who's News Staffing announcements from wirehouses and regionals from the December 2008 issue.
Registered Rep. August 31, 2010 John Aidan Byrne	UBS Beefs Up Alt Investments for Risk Reduction Jerry Pascucci, a former Morgan Stanley Smith Barney executive, is joining UBS Wealth Management Americas on September 7 as head of alternative investments, according to an internal memo obtained by Registered Rep.
Registered Rep. February 6, 2003 Ross Tucker	UBS Continues to Attract Talent UBS PaineWebber recently lured six more high-producing reps into its fold, offering further evidence that the firm is engaged in one of the Street's most vigorous recruiting campaigns.
Registered Rep. November 18, 2005 Kristen French	Smith Barney Cuts Pay for Smaller Brokers The new pay scale was announced to brokers internally in October and will take effect in January.
Registered Rep. January 29, 2010 Kristen French	UBS Morale Lifts A number of top financial advisors at the firm say that they are so far very pleased with the leadership of UBS Wealth Management CEO Bob McCann and his team.
Registered Rep. July 14, 2008 Halah Touryalai	Morgan Stanley Offers $50 million In Overtime Settlement The settlement covers all financial advisors, trainees, producing branch managers, assistant branch managers and sales managers who live outside of California and were employed with the New York-based firm between Sept. 1, 2002, and April 21, 2008.
Registered Rep. February 1, 2006 John Churchill	Race Discrimination Cloud Hangs Over Good Year For Merrill Lynch and UBS, allegations of widespread racial discrimination put a damper on an otherwise stellar year for the firms. Both wirehouses were named in separate lawsuits seeking class-action status raised by black brokers who allege a pattern of discrimination at the two firms.
Registered Rep. May 7, 2007 Christina Mucciolo	Smith Barney Closes a Few Offices, Prepares to Consolidate Others The firm prepares to consolidate as part of a larger cost-cutting program in the works at parent Citigroup.
Registered Rep. November 1, 2006 Angela Covo	Skirts Vs. Smith Barney Less than 10 years after they settled the infamous "boom-boom room" case, Smith Barney is being sued for gender discrimination again.
Registered Rep. September 3, 2010 John Aidan Byrne	UBS Hires Four HNW Advisors The latest hires by UBS Wealth Management Americas reflect its goal of attracting business from the ultra rich in mostly major metropolitan markets in the United States.
Registered Rep. September 27, 2006 Angela Covo	Women on Wall Street Still Fighting Discrimination Less than 10 years after they settled the infamous "boom-boom room" case, Smith Barney is being sued for discrimination again. The new lawsuit doesn't include sexual-harassment charges, but does address the economics of gender discrimination.
Registered Rep. July 1, 2006 Mindy Diamond	Culture Shock Two questions that should be on the mind of regional brokers are: "Would I want to work in a wirehouse, and will it serve my clients' needs?"
Registered Rep. April 1, 2005	Comings & Goings UBS has brought in two top-producing advisors... Bank of America's global wealth and investment management division has named executives... etc.
Registered Rep. July 13, 2009	Swiss and U.S. Tension Rising Over UBS Tax Evasion Case The problem continues to be that Swiss banking laws -- which say tax fraud is illegal, but not tax evasion -- protect the names of the 52,000 American clients and giving them up would violate Swiss criminal law.
Registered Rep. December 12, 2006 Halah Touryalai	Smith Barney Pay Package: Perks Balance Cuts? This week, Smith Barney will become the first firm to make a change to its payout grid as a result of the securities industry's recent battle over broker overtime pay and so-called chargebacks.
Registered Rep. December 22, 2006 Halah Touryalai	Spitzer Wants More Settlement Dollars for New York UBS Reps New York Attorney General and Governor-elect Eliot Spitzer is asking a Northern California court to disapprove the settlement terms of an overtime suit against UBS.
Registered Rep. February 22, 2006 Halah Touryalai	Brokers Headed for Sweep in Overtime Pay Cases? Stockbrokers have won their second big overtime pay case against Wall Street firms and this may only be the beginning of a rout that could cost brokerage houses many millions of dollars more.
Registered Rep. October 1, 2006 John Churchill	Crackberry Addicts Fight Back Run afoul of the law while tapping or yapping into your Blackberry and you may have a case-against your employer.
On Wall Street October 1, 2008	Who's News Staffing announcements from wirehouses, regionals and private banks.
Registered Rep. June 1, 2004	Comings & Goings David Harris moved to UBS Securities from Smith Barney... UBS Securities lost a broker to upstart wealth manager Mercury Wealth Management... Carol Rogers recently moved to Linsco/Private Ledger from Wachovia Securities' FINet system... etc.
Registered Rep. May 4, 2010 John Aidan Byrne	UBS Client Asset Outflows Slow in Q1 Improving market conditions softened the blow as total client assets hit $721.6 billion in the brokerage unit of the Swiss banking giant.
Registered Rep. December 4, 2002 Rick Weinberg	Weill Postpones Elimination of Salomon Name Sandy Weill, the chairman of Salomon Smith Barney's parent Citigroup, has informed brokers and other employees that plans to eliminate the Salomon name, a Wall Street hallmark for nearly a century, have been postponed, according to sources.
Registered Rep. January 1, 2005	Comings & Goings Merrill Lynch has hired Michael O'Keefe... Tom Matthews, president and CEO of Smith Barney's global private client group, has retired... Oppenheimer continues to hire brokers... etc.
Registered Rep. November 1, 2002 Gaffen & Weinberg	Brokers React to Citi's Research Move Sallie Krawcheck, former head of independent research firm Sanford C. Bernstein, will head a new business unit of Citigroup that will operate under the name Smith Barney, and include the private client group. Smith Barney brokers are skeptical, though.
Registered Rep. August 26, 2003 David A. Gaffen	Smith Barney Settles On WorldCom; Spartis, Elias Continue Fighting A million dollars. That's the amount brokerage firm Smith Barney agreed to pay in a settlement with the New York Stock Exchange in an investigation of improper conduct at an Atlanta branch of the firm related to WorldCom employee/shareholders.
On Wall Street November 1, 2011	Who's News Wells Fargo Advisors hired a father-son advisor team in Oak Brook, Ill., Wells Fargo has also hired Morgan Stanley Smith Barney advisor Joseph Jaworski in Melville, N.Y., and Morgan Stanley Smith Barney hired Frank Roccisano from UBS.
Registered Rep. March 1, 2003 Will Leitch	CAP and Frown A long-running dispute over a Salomon Smith Barney Capital Accumulation Plan (CAP) is going to trial.
Registered Rep. March 1, 2006 John Churchill	Everybody Wants Their Overtime UBS said it has agreed to pay $89 million to settle class-action wage and hours claims of reps filed this past summer in several federal courts.
On Wall Street March 1, 2010	Who's News Merrill Lynch hires father-and-son team... Morgan Stanley recruits Carlos Van Maanen and Carlos Stolk... Emerson Knowles and Joseph Spicer leave Morgan STanley to join Merrill Lynch... RBC Wealth Management hires John Menefee and Tom Meagher... etc.
On Wall Street January 1, 2009	Who's News Staffing announcements from wirehouses, regionals and private banks from the January 2009 issue.
Registered Rep. August 5, 2009 French & Churchill	UBS Close to Deal With Bob McCann, Reorg Under Way The move comes as the bank works to contain damage to its reputation done by the tax evasion dispute with the U.S. government.
Registered Rep. April 1, 2007	Comings & Goings Charles Schwab Corporation has named Walt Bettinger president and chief operating officer... UBS hired Greg Jones as head of diversity for UBS Wealth Management... etc.
Registered Rep. March 1, 2006 Kristen French	Broker Fights for His Reputation--and Wins (Some of It Back) Philip Spartis, a former highflying Salomon Smith Barney broker, last week won a $1 million defamation judgment against lawyer Stuart Goldberg in an Arizona court.
Registered Rep. May 30, 2003 David A. Gaffen	The New Smith Barney CEO Sallie Krawcheck was recruited to restore the credibility of Smith Barney and lead the business through its toughest slump in a generation. Krawcheck wants Smith Barney advisors to more than double their average annual production to $1 million.
Registered Rep. September 8, 2006 Halah Touryalai	Merrill Discrimination Suit Moves Forward After Failed Settlement Talks The racial-discrimination suit against Merrill Lynch is under way again after settlement talks between African-American brokers and the firm came to a halt in early June.
Registered Rep. January 20, 2004 David A. Gaffen	UBS Adds HNW Reps in San Fran, Atlanta UBS Securities, which has been one of the most aggressive recruiters of the last year or so in the retail brokerage business, continued its hiring efforts, recently bringing on two large producers from Goldman Sachs.
Registered Rep. November 29, 2006 Halah Touryalai	Merrill Lynch to Pay National Overtime Settlement The financial firm has decided to consolidate the numerous overtime lawsuits that have been filed against the firm and settle nationally with its brokers.
Registered Rep. March 1, 2006 John Churchill	To the Bitter End How a veteran Smith Barney broker is fighting to keep deferred compensation after leaving the firm to become an independent RIA.
On Wall Street November 1, 2008	Who's News Staffing announcements from wirehouses and regionals from the November 2008 issue.
Registered Rep. June 1, 2006 Kristen French	Hungry for Hires Wachovia hired a whopping 900 reps in 2005, bringing the total to 10,400, and aims to add the same number in 2006, including around 100 rookies.
Registered Rep. September 24, 2002 David A. Gaffen	Former Brokers Sue SSB, Grubman, Even Sandy Weill Want $100 Million Each for Wrongful Termination, Defamation Spartis and Elias claim that they were wrongfully fired from their positions in February of this year after the firm, in their eyes, did not adequately represent them in complaints filed by customers related to WorldCom.
Registered Rep. June 1, 2009 David Geracioti	Can You Say, "Morgan Stanley Smith Barney?" The Joint Venture Launches Today The deal merging Citi's brokerage (Smith Barney) with Morgan Stanley's Global Wealth Management Group is closed -- ahead of schedule.
Registered Rep. July 25, 2007 Kevin Burke	Smith Barney Fined $50 Million for Market Timing; More Firms, Reps To Be Fined So you thought the market timing scandal was over? Think again.
Registered Rep. May 11, 2010 Susan Konig	Branch Managers, To Produce or Not to Produce? Or Take a Pay Cut? Consolidation is forcing branch managers out of the business, or, if they are lucky, they are being pushed back into production.
Registered Rep. December 1, 2002 David A. Gaffen	Light A Candle, or Curse the Darkness For brokers and financial advisors, 2002 may be remembered as the year in which those who knew they had the right stuff redoubled their efforts to elevate their skills and become the kind of advisors who could survive the bear market and build a 21st century practice.