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An independent investigation found no evidence of a pact with Wells Fargo’s attorney but omitted mention of the other big questions emanating from the case.
June 29 -
The firms respectively settled the regulator’s allegations about suspicious activity reports and the duty of best execution — two major areas of emphasis.
May 23 -
A judge’s decision puts new pressure on the brokerage industry watchdog and the SEC.
March 3 -
Ta is aiming to reduce turnover at Wells Fargo Advisors by revamping the succession planning program.
May 5 -
The San Francisco bank is moving two executives into new positions who will report to consumer banking head Mary Mack.
July 31 -
Banks use anti-money-laundering and fraud systems to try to catch scams that prey on senior citizens. A few, including Wells Fargo, are working on artificial intelligence that could spot them even earlier.
January 30 -
A sullied reputation and frustrations with bureaucracy have driven some advisers to the competition.
October 12 -
State Treasurer John Chiang says that Wells Fargo is keeping patterns of abuse hidden from view by resolving customer disputes through private arbitration.
August 23 -
Panelists: Ron Carson, Founder and CEO, Carson Group; Marthin De Beer, CEO, BrightPlan; Angela Pecoraro, CEO, Advicent; Eduardo Queen, Director of Digital Investing, Wells Fargo Advisors.
July 10 -
The company's brokerage unit agreed to pay $5.1 million to settle claims that employees persuaded clients to sell certain investments before maturity in order to collect higher fees.
June 25