Regulatory actions and programs

The adviser had been employed with the firm for seven years prior to her dismissal, and had no disclosures on her BrokerCheck record.

The regulator said "significant deficiencies" affected hundreds of millions of records.

Millions in clients' funds was steered into a sports ticketing business.

The former federal prosecutor is the president-elect's pick after vetting a handful of candidates, said a person with knowledge of the matter.

Dan Moisand's firm joins the Institute for the Fiduciary Standard's new listing. Moisand is a former CFP Board official and ex-president of the FPA.

Her proposal to expand a probe into possible sales abuses was met by resistance from an executive who didn’t want to alienate the bank.

"I lose years of my life. They can settle, write a check and move on," says an adviser whose book of business dropped by $40 million after he alleges he was wrongfully terminated.

The allegations come a year after the firm paid over $300 million to resolve regulators' claims that it failed to tell wealthy clients it was steering them into its own funds.

Will Chief District Judge Barbara Lynn be the first to rule against the regulation? Opponents of a case in Texas federal court have high hopes.

The regulator is concerned that Wells Fargo did not follow proper procedures in notifying former reps of their U5 filings and that the information contained in them was not correct.

The regulator was looking into allegations that he structured transactions in his personal bank account to avoid federal reporting requirements.

Former Department of Labor officials allege systemic breakdown of whistleblower protection; two also handled Wells Fargo cases that went nowhere.

The president-elect's nominee will help decide the fate of the department's fiduciary rule.

The industry trade group is also calling on regulators to harmonize existing rules.

The new leadership approach differs from almost all of the bank's biggest competitors.

There's another approach to crafting a regulation that would benefit advisers and clients, RBC Wealth Management's former CEO says.

The new administration will have two paths it can take to stop the regulation from being implemented.

The Republican's hostility to all things Obama sets the stage for dramatic departures on financial regulation.

The regulator claimed the firm provided inaccurate historical weighted-average performance results to customers who used PortfolioBuilder2.

Whitley Hood declined to provide on the record testimony regarding allegations that she misappropriated funds from an affiliated bank.