-
A petition to vacate the award was denied by a federal judge.
October 19
-
Advisor Brian Chilton’s $844,000 arbitration award could herald more losses for the firm.
October 16
-
Can FINRA suspend the advisor’s license?
October 7
-
The advisor, who penned a memoir about drug addiction, accuses the firm of wrongful termination.
September 6
-
The case is a legacy of the fallout from Puerto Rico's bond crisis and the performance of UBS closed-end funds.
August 27
-
State Treasurer John Chiang says that Wells Fargo is keeping patterns of abuse hidden from view by resolving customer disputes through private arbitration.
August 23
-
An overreliance on disclosure isn't enough to protect clients from bad brokers, the investor advocacy group says.
August 7
-
The dispute pits four advisors against big Wall Street names: Wells Fargo, Morgan Stanley, Raymond James and Merrill Lynch.
August 7 -
The firm filed a motion arguing one of its ex-brokers did not challenge the proceedings until after the panel ruled against her.
July 31
-
The dispute centered on the firm’s handling of Puerto Rican municipal bonds.
July 24
