Displaying 644 results
Barred broker sentenced to 30 months for defrauding clients
Elias Herbert Hafen ran his scam at Wells Fargo and Morgan Stanley
Frozen Wells Fargo bonuses show a peril for bankers after crisis
Retiring executives are having a hard time collecting deferred stock compensation, even if they weren't involved in the bank's scandals
Wells Fargo to pony up $79 million in deferred compensation settlement with advisers
Class action complaint alleges broker had been cheated out of deferred compensation
Trio managing $645 million at Wells Fargo moves to Raymond James
Jule Eldridge, Jason Newton and Robb Sasser are joining an employee unit in Florence, S.C.
Finra censures Wells Fargo for failure to stop rep’s churning
Firm was also fined $175,000 after rep's 88-year-old client paid $300,000 in commissions
Adviser managing $350 million at Wells Fargo moves to Stifel
Randy Seymour will open an office for the firm in Ebensburg, Pa.
Wells Fargo regulator punishes leaders who created culture of fear
The Office of the Comptroller of the Currency's complaint against the bank documents the sales abuses that pervaded Wells' nationwide branch network
Ex-Wells Fargo leaders face $59 million in fines over scandals
Former CEO John Stumpf agreed to a $17.5 million penalty and an industry ban
Wells Fargo reassessing wealth technology
Firm reports new leaders resetting its technology direction to the tune of $166 million
Wells Fargo’s main regulator aims to punish former managers
The OCC is preparing civil charges against as many as 10 people but may reach settlements with some of them
Wells Fargo loses more than 450 advisers in 2019
Expenses also increased at Wells Fargo Advisors, and the firm lost a clearing client
Wells Fargo team with $800 million moves to Raymond James
Daniel Kaschmitter and William Gelegotis are joining the employee unit in Salt Lake City
Wells Fargo Advisors signs up more than 1,000 advisers for new succession plan
Program gives advisers who stay until retirement an additional bonus of 25% of their trailing 12
Wells Fargo eliminates commissions from stocks and ETFs on WellsTrade
The self-directed trading platform is the latest to announce zero-fee trades as the industry embraces a new business model.
Duo managing $330 million moves to Raymond James from Wells Fargo
Todd Hamilton and Robert Thompson join firm's employee unit in Chicago.
Wells Fargo team managing $325 million moves to Raymond James
Father-daughter duo, James Alioto and Florence Alioto-Prospero, based in Waukesha, Wis.
Wells Fargo adviser managing $300 million sets up RIA
David Mattern launches Mattern Wealth Management in Lawrence, Kan.
Wells Fargo adviser managing $300 million sets up RIA
David Mattern launches Mattern Wealth Management in Lawrence, Kan.
T3 Enterprise conference: Race to zero a popular topic
Many discussions at tech meeting of banks and broker-dealers brought up fee pressures.
Stifel team managing $800 million moves to Wells Fargo
Manuel Palan, Pamela Glaser and Danny Shoshnik will be based at St. Louis headquarters.
