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Wells Fargo loses rep managing $170 million to Raymond James

March 21, 2018

Jason Hemeon, who managed $170 million in assets at Wells Fargo Advisors, has joined the employee unit of Raymond James in Vienna, Va., outside of Washington. Mr. Hemeon began his securities career in 2002 at American Express Financial Advisors...

Senior Wells Fargo exec: No FBI interviews here

March 19, 2018

A senior Wells Fargo & Co. executive Monday morning contradicted a report from last week in the Wall Street Journal that the FBI had recently interviewed employees in the bank's sprawling wealth management group, home to some 14,544 brokers...

Feds broaden investigation of Wells Fargo Advisors: WSJ

March 16, 2018

A federal investigation into sales practices at Wells Fargo & Co. now includes the bank's wealth management business, extending the probe beyond the firm's retail-banking unit where the problems originated, according to a report Friday from...

Wells Fargo Advisors now under investigation by Galvin

March 8, 2018

Massachusetts Secretary of the Commonwealth William Galvin opened an investigation of Wells Fargo Advisors on Thursday, targeting whether the firm inappropriately moved investors into higher-fee accounts. The Massachusetts action comes on the...

Latest Wells Fargo flap underscores need for fiduciary standard

March 8, 2018

The most recent scandal brewing at Wells Fargo Advisors, this one regarding questions from the Justice Department about potentially inappropriate recommendations on rollovers for 401(k) plan participants, underscores yet again why the financial...

Brokers managing $425 million exit Wells Fargo to form RIA

March 6, 2018

A group of brokers who managed more than $425 million at Wells Fargo Advisors in Portland, Ore., have left the firm to form JGP Wealth Management, an independent registered investment advisory, which will be headquartered in Portland. The firm...

Wells Fargo Advisors scrutinized by Justice Department

March 1, 2018

The Department of Justice has instructed Wells Fargo & Co. to conduct an independent investigation of its Wealth and Investment Management business, which includes Wells Fargo Advisors, after whistleblowers flagged "sales problems" in the unit,...

How nuns got Wells Fargo to address its ethical lapses

March 6, 2018

Wells Fargo & Co. agreed to publicly report on the root causes that led to a rash of ethical lapses in recent years, a group of investors said. The group, led by the Interfaith Center on Corporate Responsibility and including about 20 religious...

An alternative take on alternatives

July 1, 2013

Not just adding a slice but rethinking the whole pie, a new white paper from Wells Fargo Funds Management.

Independence simplified

October 16, 2015

Wells Fargo Advisors Financial Network (FiNet) simplifies independence for successful Financial Advisors through partnerships in order to help create an extraordinary business, life, and legacy.

Ex-Wells Fargo rep barred and arrested for ripping off elderly

February 26, 2018

The Financial Industry Regulatory Authority Inc. has barred former Wells Fargo broker Jeffrey Palish for receiving more than $180,000 from an elderly client "with no intent or ability to repay" her. Wells Fargo terminated Mr. Palish's registration...

Top Wells Fargo exec to advisers: 'Stay positive,' keep walking the 'noble path'

March 1, 2018

The head of Wells Fargo's wealth and investment management group, which includes 14,544 financial advisers, exhorted his employees in a memo Thursday to remain upbeat and confident in the face of the bank's latest potential scandal. Hours after...

4 Wells Fargo board members plan to retire as pressure builds over scandal

March 2, 2018

Four Wells Fargo & Co. board members, including its three longest-serving directors, plan to retire next month as pressure mounts for new oversight in the 18-month-old scandal. Federico F. Pena, Lloyd H. Dean, Enrique Hernandez Jr. and John...

Wells Fargo adviser headcount dips

January 12, 2018

Wells Fargo Advisors saw a slight decline in adviser headcount in the fourth quarter, a reversal following the previous quarter's positive turnaround following a retail banking scandal that racked parent company in 2016. The wirehouse ended...

Wells Fargo $350 million team goes indie with Raymond James

January 29, 2018

A four-adviser team managing $350 million at Wells Fargo in Richmond, Va., has gone independent and affiliated with Raymond James. Brokers Scot Morris, Alex Brand, Alicia Borghi and Barbara Wiltshire, along with client service manager Hasti...

Wells Fargo loses rep managing $178 million to Stifel

January 19, 2018

Greg Greenberg, who managed $178 million in assets at Wells Fargo Advisors, has joined Stifel, Nicolaus in Overland Park, Kansas. Mr. Greenberg began his career at H&R Block Financial Advisors in 1996 and moved to Wells Fargo in 2007.

Wells Fargo adviser jumps to Kingsview

December 5, 2017

Peter Hiltz, who managed $160 million in assets at Wells Fargo Advisors in Cincinnati, has joined Kingsview Asset Management and will open the firm's first office there. Kingsview is a registered investment adviser headquartered in Grants Pass,...

Wells Fargo erasing hurdles for advisers looking to move to its IBD

January 24, 2018

The independent contractor arm of Wells Fargo Advisors, Wells Fargo Advisors Financial Network, or FiNet, intends to make it easier this year for brokers who are employees to jump to another side of the business and work as independent reps...

Merrill Lynch rep managing $200 million moves to Wells Fargo

January 24, 2018

Dennis Hall, who managed $200 million in assets at Merrill Lynch, has joined Florham Park Wealth Advisors, an independent practice in Florham Park, N.J., that is affiliated with Wells Fargo Advisors Financial Network. Mr. Hall began his securities...

Wells Fargo, Morgan Stanley use contrary tactics to keep advisers

January 25, 2018

Wells Fargo Advisors and Morgan Stanley are using extremely different tactics in the battle to hang onto their financial advisers. Wells Fargo started the year by dangling a carrot at its 14,544 retail and wealth management advisers, while Morgan...

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