Tagged with "wells"

Wells Fargo Advisor Headcount Drops Again

Posted on August 13th, 2019 at 10:34 AM
Wells Fargo Advisor Headcount Drops Again

The advisor count at Wells Fargo is declining, continuing a downward trend in headcount that began after the fake accounts scandal hit the bank in 2016. The bank’s brokers, frustrated by the scandal, have transitioned to Wells Fargo’s rivals.

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If you are being bothered by the Regulators, call Eccleston Law, you won't regret it.

Rick R.


September 23, 2022
CFP Board Lifts Interim Suspension of Former UBS Advisor

The Certified Financial Planner Board of Standards (CFP Board) has lifted an interim suspension it had imposed against a former UBS advisor after criminal fraud charges against him were recently dismissed.

September 22, 2022
FINRA Penalizes Baird Over $100 Trading Commissions

The Financial Industry Regulatory Authority (FINRA) has ordered Robert W. Baird & Co. to pay $461,481 plus interest due to allegations that the firm overcharged its clients on thousands of equity transactions for at least one year.

September 21, 2022
FINRA Arbitrators Award Nearly $470,000 To Investors in UBS YES Product

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered UBS to pay nearly $470,000 to clients who invested in a complex options strategy, known as the YES or Yield Enhancement Strategy.