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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Payment of back wages is ordered as well as reinstatement. A second reinstatement may also be in the works, Financial Planning has learned.
April 9 -
The firm's latest hire is an industry veteran of more than two decades.
April 7 -
Access to banking information ensures advisors can perform holistic planning, fintech firms say.
April 5 -
The advisers oversaw nearly $900 million in combined AUM, and moved to Morgan Stanley, Raymond James and HighTower.
April 5 -
A FINRA arbitration panel decided that an amendment to the adviser’s bonus loan is “unenforceable.”
April 3 -
On the same day, the OCC faulted the bank for engaging in an “extensive and pervasive pattern” of discriminatory and illegal lending practices for years.
March 29 -
The regulator suspended the rep for two months and fined him $5,000 for keeping the firm in the dark about his dry-cleaning business.
March 28 -
The regional broker-dealer has added at least 19 advisers from wirehouse firms so far in 2017.
March 21 -
The new recruits are the latest to join the regional firm from Wells Fargo.
March 20 -
Tim Sloan, who rose to CEO in October, received $12.83 million, up from the $11 million he got as COO for 2015, according to a regulatory filing.
March 16
