Wells Fargo & Co.
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Finra bars Wells Fargo broker who ran Miami nightclub
Aaron Parthemer, left, a Wells Fargo adviser for a number of NFL and NBA players, allegedly ran a hip hop dance club in South Beach without telling his employer.
Wirehouses still attracting adviser talent
Despite increasing options in the independent space, majority of adviser moves are still among the big four.
Nuveen Investments rethinks ETFs after pioneering, then abandoning, them
After shutting its exchange-traded fund unit in 2002, Nuveen comes back to the table with a new plan.
In target date funds, performance starts to trump risk management as assets balloon
Some strategies stay aggressive right up to target date while others dial down risk; each group has its reasons
The hazards of securities-based lending as a source of retirement income
Securities-based lending is emerging as a possible way to fund short-term expenses in retirement, but experts warn that advisers ought to use abundant caution when working with this strategy. Securities-based lending allows clients to tap a line of credit by pledging a portfolio of assets in a
Wells Fargo sees results from financial planning
Wells Fargo Advisors capped off 2014 with relatively strong numbers, as fourth-quarter earnings at its wealth division were up 5% year over year, despite costly investments in technology and higher broker commissions.
Wells Fargo fined $1.5 million for AML failures
The wirehouse failed to comply with anti-money-laundering requirements by not properly vetting some 220,000 new client accounts over a nine-year period, Finra charged.
Wells Fargo tweaks deferred comp, pay on stock trades
Advisers could earn more deferred pay, but minimum ticket size for payout on equity trades upped to $125.
Powerful Wells Fargo division takes over firm's wealth management research functions
New unit will influence product selections for 15,000 advisers managing $1.6 trillion in assets.
Midwest financial adviser team with $463M in assets joins Wells Fargo
Madison Street Financial Group specializes in corporate retirement plans and high-net-worth families.
Wells Fargo nets $972M JPMorgan team
Wells Fargo Advisors continues to build on its recruiting momentum with the addition of a trio of former JPMorgan Chase & Co. private bankers.
Wealth management a growing force in bank fortunes
Third-quarter earnings reports show that once again, wirehouses are driving revenue at the giant banks that own them.
Altered docs land former Wells compliance officer in hot water
Judy Wolf, formerly with Wells Fargo, allegedly attempted to make it appear she adequately reviewed a broker later charged with insider trading. Plus, see 5 compliance lessons from recent SEC cases
Wells Fargo Advisors earnings jump on lending
Mortgages and securities-based lending offset a decline in transaction revenue.
Allianz joins Wells Fargo's new indexed annuity platform
Insurer brings its Essential Income 7 indexed annuity, Essential Income Benefit feature, to the platform.