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Wells Fargo, Merrill to Pay $60 Million Penalties Over Cash Sweep Accounts: SEC
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 ...
Wells Fargo Team That Managed $1.15 Billion Jumps to LPL Financial
LPL Financial has notched another recruiting win, bringing in a large California team from Wells Fargo. The Townsgate Wealth ...
Arizona Daily Sun1mon
Wells Fargo firms, Merrill Lynch to pay $60M on SEC charges
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 ...
InvestmentNews14d
LPL welcomes $1.15B breakaway team from Wells Fargo
The six-advisor ensemble based in California marks the latest and largest departure from the Wall Street giant to the ...
Financial Advisor14d
$1.15B Wells Fargo Team In California Moves To LPL
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 ...
Business Insider1y
Wall Street's arms race for wealthy clients is heating up as Merrill Lynch's Andy Sieg joins Citi
Bank of America said on Thursday that Andy Sieg, the president of Merrill Lynch Wealth Management who ... Morgan Stanley, UBS, and Wells Fargo. The industry as a whole is trying to position ...
Financial Advisor15d
$1.15B Wells Fargo Team In California Moves To LPL
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.