Wells Fargo
Wells Fargo
Wells Fargo is one of the largest banks in the United States, with approximately $1.9 trillion in balance sheet assets. The company is split into four primary segments: consumer banking, commercial banking, corporate and investment banking, and wealth and investment management.
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The advisors joined existing practices within the bank's independent broker-dealer arm.
September 20 -
The advisors join the regional BD’s offices in Chicago and Nashville, Tennessee.
September 18 -
“We’ve been very focused on opening every drawer and turning over every rock in the company,” CEO Tim Sloan said.
September 14 -
The firm, which has faced racial discrimination allegations, is trying an alternative approach suggested by a professor at Harvard.
September 12 -
One of the new hires cited the regional firm's financial planning expertise as a reason he made the move.
September 7 -
One of the regional firm's new hires had a previous career as a minister in Louisiana.
September 5 -
The regional firm has been a recruiting tear, picking up a number of ex-wirehouse teams.
September 5 -
Attorneys are preparing written objections to the settlement, which they may file in the next 15 to 30 days.
September 5 -
Aaron Parthemer misrepresented investments to his pro athlete clients, the regulator claims.
September 1 -
In the last month, RBC has hired six teams from wirehouses and other regional firms.
August 31 -
These funds have the smallest beta scores, either positive or negative, indicating the least variability from market returns.
August 30 -
With these latest additions, the regional firm furthers its Southeast expansion.
August 21 -
The new hires are the latest recruits to join the regional firm.
August 17 -
The rep ignored FINRA's repeated requests for documents it needed to investigate allegations that she made inaccurate statements on a mortgage gift letter.
August 16 -
The mishandling of the two former employees’ complaints, detailed in documents and by former OSHA officials, raises questions about the government’s treatment of whistleblowers throughout the financial services industry.
August 14 -
Shelley Steuer Freeman, the bank's former Los Angeles regional president and head of Consumer Credit Solutions, was barred for refusing to provide FINRA with documents it requested.
August 14 -
The Northeast prevails, but there's a surprise in the rankings revealed by this interactive infographic.
August 10 -
In addition to redesigning its business lines, the $48 billion firm is considering a robo, the president of its broker-dealer said.
August 8 -
The group previously generated almost $2 million in annual revenue, according to their new employer.
August 3 -
The violations ranged from the improper reuse of signed customer forms to the execution of discretionary transactions without written authorization.
August 1
