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- WIREHOUSES Bardhy Quku has left Morgan Stanley for the New York City office of UBS. He previously generated $1.8 million in production on $185 million of client assets. Morgan Stanley has hired John Wachs to join its Wauwatosa, Wis., office. He comes from Baird where...
- Research articles 2008-09-01
- Who's News
- WIREHOUSES Smith Barney's Deerfield, Ill. office has snagged a $5.24 million team from Morgan Stanley. Eugene Lerner, Michael Stoken, Walter Gondeck Jr. and Mingdong Tan oversaw $505 million in client assets. UBS has recruited Shawn Simmons and John Scott to join its Kenwood, Ohio office....
- Research articles 2008-08-01
- Who's News
- WIREHOUSES In Sacramento, Calif., James Diepenbrock, Mark Chapman and Katrina Semmes have jumped to Smith Barney from UBS. They supervised more than $1 billion in assets and generated $2.5 million in fees and commissions. Morgan Stanley has recruited Mike Hess to its New Orleans office....
- Research articles 2008-06-01
- Who's News
- WIREHOUSES Robert Bregman has bolted from Bear Stearns to Smith Barney's Seventh Avenue office in New York. Bregman has 17 years of industry experience andhas more than $1.8 million in production on assets of more than $250 million. Morgan Stanley in Conshohocken, Pa., has recruited...
- Research articles 2008-05-01
- Whos' News
- WIREHOUSES David Javaheri and Shaun Fitzpatrick have left Merrill Lynch to join Morgan Stanley's Wellesley, MA branch. The pair had a combined production of $2.5 million and oversaw $362 million in assets. Barbara Hetzer has jumped from Merrill Lynch to Smith Barney's office in Purchase,...
- Research articles 2008-03-01
- Whos News
- Wirehouses Morgan Stanley, Folsom, Calif., recruited Cary M. Allison from Wachovia Corp. in Folsom. Allison earned $2.05 million and had assets under management of $367 million. He had been at Wachovia since 2003, and also worked at Prudential and Piper Jaffray Inc. Don C. Garman joined Morgan Stanley...
- Research articles 2008-02-01
- Court Grants Preliminary Approval of $33 Million Gender Class Action Settlement With Smith Barney
- Late yesterday, a federal court granted preliminary approval of a $33 million settlement with Citigroup Global Markets, Inc. d/b/a Smith Barney, on behalf of all women employed as Financial Advisors in i the United States branches of Smith Barney's retail brokerage division at any time from August 24, 2003 through...
- Research articles 2008-05-01
- Who's News
- Wirehouses R. Christopher Errico and partner Sean T. Kilduff, who together were reportedly the largest producers at Morgan Stanley, joined the ultra-high-net-worth division of UBS Financial Services. The two men had a trailing 12-month production of $20 million. John P. Isenburg, Steven P. Gobel Sr.,...
- Research articles 2008-01-01
- Popular, Smith Barney deal.(PUERTO RICO)
- Popular, Inc., the leading financial institution here, on Aug. 30 announced it will acquire the operations of broker-dealer Smith Barney in Puerto Rico. Smith Barney, a division of Citigroup Global Markets Inc., is a provider of financial planning and advisory services to high net worth investors,...
- Research articles 2007-10-01
- Who's News
- WIREHOUSES Hank J. Holland has joined Merrill Lynch in its ultra-high-net-worth office in San Francisco. Holland, who arrives from Sanford C. Bernstein in New York, grossed more than $20 million in the past year-reportedly making him Bernstein's biggest producer. Lee Anne A. Bloom, Michael H....
- Research articles 2007-09-01
- Smith Barney and New York Knicks Partner in Inaugural Smith Barney Creatively College Bound 'Reason I Write' Essay Contest for Full Scholarship to the University of Wisconsin
- Smith Barney, New York Knicks and Urban Word NYC partner to provide opportunities for under-served NYC high school students to better prepare for college application process
- Research articles 2007-11-26
- Who's News
- WIREHOUSES A $5 million team of six Smith Barney advisors has defected to Morgan Stanley's Norwell, Mass., office. John W. Corbett III, Joseph M. McLaughlin, William P. Slimbaugh III and Bennett B. White have joined from Smith Barney's Hingham, Mass., branch. Bruce K. Henderson and Stephen P....
- Research articles 2007-07-01
- Smith Barney Appoints Julian Clark as Managing Director of Global Stock Plan Services
- NEW YORK -- Smith Barney announced today that Julian Clark, former President and CEO of Mellon Investor Services, has been appointed Managing Director of Smith Barney Global Stock Plan Services. In his new role, Mr. Clark will oversee the administration of equity compensation plans for more than 700 corporate clients....
- Research articles 2007-08-06
- Who's News
- WIREHOUSES Sheila F. Klehm, a $5.5 million producer, has left J.P. Morgan Securities' private bank after 18 years to join Morgan Stanley's ultra-high-net-worth office in New York. She oversaw $1.4 billion in assets. Michael Brathwaite, Frank A. Calderone and Charles P. Massimi have left UBS...
- Research articles 2007-06-01
- State of the Super Firms
- It's never been better for Wall Street's retail brokerages, as rising stock markets have inflated assets under management, and investors have continued to turn to brokers for advice. Add the powerful demographic trend of baby boomers scrambling to prepare for retirement, plus the ongoing growth of wealth in the United...
- Research articles 2007-06-01
- Who's News
- Wirehouses James L. Oberheide, a $9.5 million producer, has joined Morgan Stanley's ultra-high-net-worth office in Chicago. Oberheide previously managed $1.6 billion in assets for clients at Sanford C. Bernstein & Co. in Chicago. A father-mother-and-daughter team has moved to Merrill Lynch's ultra-high-net-worth unit in Ladue,...
- Research articles 2007-05-01
- Who's News
- WIREHOUSES Gustavo Klimberg and Jamie Fals have bolted from Lehman Brothers to join Morgan Stanley as executive directors in the firm's Latin America private wealth division. The duo-based out of Morgan's Miami offices-administered $400 million in client assets and produced $4.2 million in annual revenue. ...
- Research articles 2007-04-01
- Who's News
- Wirehouses Alan J. Levinsohn and Julie A. Shide, who together grossed $2 million at Smith Barney in Boca Raton, Fla., have jumped to Morgan Stanley in that city. The duo oversaw $135 million in client assets. Donald M. Kerr, Raymond J. Moseman and...
- Research articles 2007-02-01
- Smith Barney Joins Citi's ThankYou® Network Rewards Program
- NEW YORK -- Smith Barney today announced that it joined Citi's ThankYou Network rewards program as a sponsor, allowing Smith Barney clients to earn ThankYou Points for using products and services available from Smith Barney. Smith Barney joins Citi Cards, Citibank and Expedia.com as sponsors of ThankYou Network, which now...
- Research articles 2007-07-12
- Who's News
- Wirehouses Robert Wolf is taking over as chairman and chief executive officer of UBS Americas-positions previously held by Mark B. Sutton, who is retiring. Wolf will retain his current role as chief operating officer of UBS's global investment bank. Smith Barney has hired three advisors...
- Research articles 2007-01-01
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