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Wells Fargo wants mistakenly sent client data returned
Information includes names, Social Security numbers of tens of thousands of wealthy clients.
Wells Fargo team managing $351 million in Gainesville, Georgia, goes independent
Strong Gaddy Lee Wealth Management chooses hybrid route with LPL.
Wells Fargo duo managing $230 million goes independent
Two reps in Palm Beach Gardens, Fla., affiliate with Raymond James.
Wells Fargo sustains more adviser losses following banking scandal
One hundred and thirty advisers left in the second quarter, marking the firm's third consecutive quarter of reductions.
A $200 million Wells Fargo rep forms RIA
James Denholm III launches IronBridge Private Wealth in Austin.
$500 million Wells Fargo team moves to Raymond James
Three reps in Palm Beach Gardens, Fla., affiliate with independent unit.
Finra fines Wells Fargo $3.25 million for options trade reporting violations
Firm censured for inaccuracies and errors in OTC options reports from 2008 through this year.
Wells Fargo taps Jonathan Weiss to lead wealth and investment management
Mr. Weiss replaces David Carroll, who will retire after 38 years with bank.
Stifel, UBS lose advisers to Wells Fargo’s independent unit
Brokers in Missouri and Tennessee decide to take indie route.
Wells Fargo, in ‘atypical’ outcome, wins 401(k) lawsuit
The win could provide fodder in other legal defenses, and supports the contention that comparing fund costs to Vanguard doesn't always provide an accurate barometer.
As Merrill Lynch and Morgan Stanley cut back, what’s next for recruiting deals?
If you are a wirehouse adviser who has counted a giant recruiting package as part of your net worth, you need to recalculate.
Wells Fargo loses $160 million broker to Voya
Employee broker goes indie as Sanders Wealth Management in Greenville, S.C.
Wells Fargo’s move to boost signing bonuses could give it a lift
Wirehouse is seen as trying to shore up adviser ranks that took a hit after banking scandal
Brokerage firms hunt for fintech in early-stage development
Edward Jones and Wells Fargo invest in tech start-ups to find technology before competitors.
Wells Fargo will ramp up spending to lure brokers
Wirehouse, after losing 400 brokers in first quarter, is bucking trend among rivals who have said they are going to cut back on spending big bucks recruiting veteran advisers
A Wells Fargo $180 million team starts an RIA
Three-person Guardian Financial Partners is based in Orange, Calif.
Wells Fargo Advisors restricting investments for retirement accounts
Mutual fund sales will be limited to T shares, while municipal bonds, preferred stock and international debt will be prohibited.
Wells Fargo loses $130 million team to Raymond James
Father-and-son team based in Omaha, Neb., remain in employee channel.
Rep barred for paying credit card bills with client money
Former Wells Fargo broker consents to Finra ban for improper transfers from customer accounts.
Wells Fargo FiNet loses $275 million team to Raymond James
Five-person Holloway Harman & Associates is based in Kansas City, Mo.
