Wells Fargo Advisors
Scott W. Reed of Scottsdale, Arizona, allegedly made nearly $200,000 for soliciting and facilitating at least $3.5 million in unapproved investments in a software company.
Group led by Stan Alpert and Gregg Kaufman had overseen $725 million in assets at Morgan Stanley.
Three Wells private banking officials join the management committee of Wells Fargo Advisors as bank-brokerage integration continues.
Bank scrambles to retain brokers following its decision to prohibit them from servicing accounts of clients outside the U.S.
Lawsuit claims Wells Fargo Advisors violated Missouri and federal law by failing to pay overtime wages to client associates who regularly work more than 40 hours a week.