“Merrill Lynch also provided detailed narrative responses on numerous topics which expedited the Commission staff’s investigation,” according to the SEC filing. Wells Fargo Advisors (from ...
A six-member advisory team at Wells Fargo Advisors Financial Network that handled $1.15 billion in advisory, brokerage and retirement assets has left to join LPL Financial’s broker-dealer, registered ...
Merrill Lynch and two units of Wells Fargo have agreed to pay $60 million in combined penalties to settle Securities and Exchange Commission charges that they failed to consider the best interest ...
The six-advisor ensemble based in California marks the latest and largest departure from the Wall Street giant to the broker-dealer titan in the past year.
Merrill Lynch has made a series of recent hires, luring advisors away from large rival brokerage firms where they had ...
Merrill Lynch and two Wells Fargo advisory firms have agreed to pay a combined $60 million in civil penalties to settle Securities and Exchange Commission charges over compliance failures ...
According to the SEC’s orders, Wells Fargo Advisors and Merrill Lynch offered bank deposit sweep programs (BDSPs) as the only cash sweep option for most advisory clients and received a ...
Wells Fargo & Co. is a diversified and community-based financial services company, which engages in the provision of banking, insurance, investments, mortgage, and consumer and commercial finance ...
The most experienced of Wells' recent hires is James Zorn, a 36-year veteran of the industry who joined the wirehouse on Jan. 30 in San Diego. Zorn produced more than $1.2 million in trailing 12-month ...
Advisors Anthony Callea and Randy Cintron, who operated as The Callea/Cintron Group at Morgan Stanley, joined Merrill's Park Avenue office in New York last Thursday, according to registration records ...
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