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The firm followed rival wirehouses that no longer share their exact number of brokers, which is a critical metric for industry recruiting trends.
April 17 -
Five financial advisors with $1.45 billion in client assets and seven support staff members moved to the independent brokerage's breakaway channel.
March 6 -
The smaller shrinking of the wirehouse's headcount in 2023 underscored a successful year of growth for the megabank's wealth arm.
January 18 -
In a decision that left out the details of alleged discrimination and tensions within the firm, a FINRA arbitration panel granted the broker's expungement request.
January 4 -
In a panel at PIABA's annual conference, the head of the regulator's arbitration program discussed how the bombshell case has led to reforms.
October 26 -
Despite losing more than 500 brokers from its headcount in the third quarter, the wirehouse sees strong recruiting momentum in its pipeline.
October 17 -
An innovative hybrid firm's new brokerage displays how the industry is placing advisory business at the center of its well-financed plans for the future.
August 25 -
A Georgia appeals court threw out a bombshell ruling against Wells Fargo that said the Wall Street bank "committed fraud" with an arbitration panel.
August 2 -
An independent investigation found no evidence of a pact with Wells Fargo’s attorney but omitted mention of the other big questions emanating from the case.
June 29 -
The firms respectively settled the regulator’s allegations about suspicious activity reports and the duty of best execution — two major areas of emphasis.
May 23