LPL Financial has notched another recruiting win, bringing in a large California team from Wells Fargo. The Townsgate Wealth ...

“Merrill Lynch also provided detailed narrative responses on numerous topics which expedited the Commission staff’s investigation,” according to the SEC filing. Wells Fargo Advisors (from ...

Merrill Lynch and two units of Wells Fargo have agreed to pay $60 million in combined penalties to settle Securities and Exchange Commission charges that they failed to consider the best interest ...

The six-advisor ensemble based in California marks the latest and largest departure from the Wall Street giant to the ...

Merrill Lynch and two Wells Fargo advisory firms have agreed to pay a combined $60 million in civil penalties to settle Securities and Exchange Commission charges over compliance failures ...

A six-member advisory team at Wells Fargo Advisors Financial Network that handled $1.15 billion in advisory, brokerage and retirement assets has left to join LPL Financial’s broker-dealer, registered ...

According to the SEC’s orders, Wells Fargo Advisors and Merrill Lynch offered bank deposit sweep programs (BDSPs) as the only cash sweep option for most advisory clients and received a ...

The Securities and Exchange Commission settled charges against units within Bank of America and Wells Fargo that will result in $60 million in total civil penalties. The SEC said the charges were ...

Advisors Anthony Callea and Randy Cintron, who operated as The Callea/Cintron Group at Morgan Stanley, joined Merrill's Park Avenue office in New York last Thursday, according to registration records ...

A six-member advisory team at Wells Fargo Advisors Financial Network ... Banc of America Investment Services and Merrill Lynch during more than three decades in the industry, according to BrokerCheck.