Republicans and Democrats grill Tim Sloan for more than four hours.
Sloan tells the House Financial Services Committee that Wells is working to address regulators' concerns.
Scott Hanson started a firm in 1993. Here's how he'd build one in 2019.
Agency offered incentives to advisers to turn themselves in.
Former Wells Fargo rep John Gregory Schmidt had been barred by Finra.
Enhancement of savings vehicles a priority in Washington, but some states aren't on board.
The regulator is on the warpath against unsuitable share class recommendations. How will the industry respond?
The adviser claims Charles Schwab defamed him and poached his clients.
They claim current rules requiring those 70½ to start withdrawing funds from retirement accounts are outdated.
Richard Cody of Jacksonville, Fla., also must pay fine of $30,000.
Republicans don't want to tinker with tax reform, and Democrats don't want to be seen giving the wealthy a break.
Data breaches have become so common that financial advisers cannot afford to remain uninformed
NASAA President Michael Pieciak: Draft regulations should curb abusive practices.
Lawmakers will seek more information in subcommittee hearing next week.
Pay limits were among the most sweeping constraints to come out of Dodd-Frank.
In FAQs, regulator says firms should review sales supervision procedures, not every transaction.
Maryland senator wants the SEC to make it harder for corporate executives to sell shares right after buyback announcements.
Barred broker worked at 10 different firms in his 13-year career
While legislation proposing a financial transaction tax has been introduced in the House and Senate, it's not likely to be enacted during the Trump administration.
The SEC claimed BB&T misled clients and caused them to overpay for advisory services.
