Class action complaint alleges broker had been cheated out of deferred compensation
Independent broker-dealers and RIAs scored sizable net gains of advisers at Wall Street's expense
Firm was also fined $175,000 after rep's 88-year-old client paid $300,000 in commissions
Randy Seymour will open an office for the firm in Ebensburg, Pa.
The Office of the Comptroller of the Currency's complaint against the bank documents the sales abuses that pervaded Wells' nationwide branch network
Firm reports new leaders resetting its technology direction to the tune of $166 million
Paul Reilly touts the new highs the firm hit in client assets and number of advisers
The OCC is preparing civil charges against as many as 10 people but may reach settlements with some of them
Case revolved around investments in Puerto Rican bonds made by the former MLB star
The five-person Dupre Keating Group joins offices in Pennsylvania and Delaware
James Ducharme, Michael Rowland join firm’s employee unit in Melbourne, Florida
The Swiss bank snags Wickham Cash Partners in Charlotte; reports $9 billion decline in net new money in Americas in Q4
Technology push at Morgan Stanley comes into focus after Solium Capital acquisition
Long the financial advice industry's leading trainer of young brokers, Merrill to renew attention on coaching
At $4.4 billion, its financial advice business is small compared to brokerage giants
Expenses also increased at Wells Fargo Advisors, and the firm lost a clearing client
Expert: Interest rate discussions with clients ‘can be problematic’
The Swiss bank is targeting billions of dollars managed by Latin American intermediaries booking assets in the U.S.
Citi, Bank of America and Morgan Stanley are among the firms beefing up their wealth management efforts in Northern California
Daniel Kaschmitter and William Gelegotis are joining the employee unit in Salt Lake City
