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Wells Fargo, Morgan Stanley, Bank of America and J.P. Morgan Chase were among the dissenters, people familiar with the matter said.
June 23
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The SEC found that auditing or testing would likely have revealed deficiencies in controls that allowed an employee access to client information at the wirehouse, says leading compliance expert Alan Foxman.
June 22
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An arbitration panel ruled that the firm had failed to properly supervise the adviser.
June 21
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Also, J.P. Morgan saw a team managing $300 million in client assets go independent.
June 20
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The wirehouse's latest hires will support client development and strengthen product delivery, according to Morgan Stanley.
June 17
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The new recruits are opening a new office for the independent firm.
June 15
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The branch is staffed by 22 advisers, most of whom are recent recruits from Credit Suisse.
June 15
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The regulator cited security oversights that led to the theft of thousands of customer accounts.
June 8 -
The firm's newest recruit is a veteran broker from Morgan Stanley.
May 31
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The new recruits joined the wirehouse from Merrill Lynch and UBS.
May 31
