Wells Fargo Advisors

The new recruits joined from Merrill Lynch and Morgan Stanley.

Exclusive: The regional firm picked up two groups of recruits from Wells Fargo and Merrill Lynch.

Stephens recruited an executive with more than 30 years experience, whose career includes stops at Wells Fargo, Credit Suisse, Lehman Brothers, PaineWebber and Merrill Lynch.

The new recruits joined the regional firm from Wells Fargo Advisors.

The firm detailed its compliance plans while acknowledging that the regulation could be changed under President-elect Trump.

The advisers joined the firm's independent and employee channels from rivals such as Morgan Stanley, Wells Fargo and Cetera.

The group, led by two brothers, joined the firm as partners and opened a new office for Noyes. It's now the firm's largest branch.

FINRA alleged he communicated with customers about standby letters of credit and bank guarantees outside the scope of his authority.

The planners left J.P. Morgan, UBS and Merrill Lynch to go into business for themselves.

Tim Sloan acknowledged that there may have been instances in which employee complaints related to the bank's cross-selling practices may have been mishandled.