“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 ...

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 ...

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 ...

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 ...

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 ...

Wells Fargo is punching below its weight in most areas of investment ... Langley is a former Barclays and Merrill Lynch executive who joined in 2019 as head of CIB in EMEA and added oversight of ...