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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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.