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

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 ...

“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 ...

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 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 ...

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 ...

More than ten investment banks, including Wells Fargo, HSBC, Merrill Lynch and Credit Suisse, will leave Argentina in the coming weeks, a Buenos Aires newspaper reported Monday. The decision came ...

Barry Simmons, managing director and northeast divisional president of Wells Fargo Wealth & Investment ... sales director for Bank of America Merrill Lynch in New York. More cross-country ...

Sonia M. Toledo joined Wells Fargo Securities in 2010 from Bank of America Merrill Lynch, where she headed the Northeast Region. Over her 26 year career, she has led a number of complex ...

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.