Wells Fargo Advisors, the bank’s brokerage unit, recruited a former UBS advisor team that oversaw $1.6 billion in assets ...

Both brokerage firms moved a customer’s uninvested cash from a brokerage account into an interest-bearing account, violating ...

Wells Fargo Advisors is the broad marketing umbrella for close to 12,000 bank advisors, wealth management advisors, and independent advisors. With thousands of financial advisors leaving or ...

Later last month, Wells added advisor Gregg Lippert from Merrill Lynch in Frontenac, Missouri. Lippert oversaw more than $205 million in assets and produced more than $1.3 million in annual revenue at ...

Mercer Global Advisors and EP Wealth also extend their reach into the Nashville, Tennessee area with RIA acquisitions.

“Wells Fargo Advisors and Merrill Lynch offered bank deposit sweep programs, or BDSPs, as the only cash sweep option for most advisory clients and received a significant financial benefit from ...

The can-do work ethic of the firm's northeast divisional president took him across the country multiple times — and to the ...

Two Wells Fargo-affiliated investment advisers and Merrill Lynch agreed to pay $60 million, while LPL Financial agreed to pay $18 million.

The charges against Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network claim that the firms failed to adopt and implement written policies and procedures related to its bank ...

Exploring the Strategic Moves of First Pacific Advisors (Trades, Portfolio) in Q4 2024. Warning! GuruFocus has detected 5 Warning Sign with META. First Pacific Advisors (Trades, P ...

Commissions do not affect our editors' opinions or evaluations. One of the most storied brands in banking, Wells Fargo has been around for over 150 years and has built a national retail presence ...