Wells Fargo Mulls Robo-Advisory Offering
The news comes more than five years after BofA rolled out Merrill Edge.
Best Broker-Dealers Ranked by Financial Advisors: J.D. Power — 2015
Satisfaction poll by J.D. Power finds a big drop in loyalty as frustrated reps consider their options.
BDs Increasing Protection Against Cyber Breaches, Survey Finds
'Some firms have been the subject of benign incidents but haven’t realized it yet,' says Sutherland's Rubin.
Wells Fargo Profits Flat, but Wealth Unit Jumps
The wealth unit’s Q2 results had an 11% rise in profits on higher asset-based fees.
JPMorgan Profit Beats Analysts’ Estimates as Expenses Drop
The bank boosts net income despite a drop in revenue amid sluggish fixed-income trading.
Galvin Fines LPL $250K Over False Senior Designation Titles
Since mid-'07, LPL did not establish, maintain, or enforce a procedure to review senior-specific titles for compliance in Massachusetts.
Wells Fargo Grabs Morgan Stanley, Merrill Reps as Raymond James Nabs UBS Team
The four new Wells Fargo advisors come on board with some $900 million in assets; the new RJ group has some $300 million.
The SEC and FINRA Proclaim: Trust No One!
Our industry doesn't deserve to be painted by regulators with the lowest common denominator. Case in point: the SEC actions against CCOs
Regulator Slams Securities America, Advisor Over Alzheimer’s Ad
The IBD denies charges that it failed to supervise an advisor and his "grossly deceptive" radio marketing efforts in Massachussetts.
Raymond James Grabs $120M Team From Merrill
The two female financial advisors go independent with the firm in Utah.