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Advisor Practice Management Wells Fargo, Merrill to Pay $60 Million Penalties Over Cash Sweep Accounts: SEC Jan. 17, 2025 at 11:15 a.m. ET by Barron's Other News Press Releases Richard Pzena's Strategic Moves: Equitable Holdings Inc. Sees Significant Reduction Feb. 7, 2025 at 6:56...
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Wells Fargo will deposit $6.5 million into a “fair fund” for the benefit of harmed investors. “Broker-dealers must do their homework before recommending complex investments to their customers,” said Elaine C. Greenberg, Chief of the SEC Enforcement Division’s Municipal Securities and Public ...
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Wells Fargo Sues Fired Illinois Advisor, Retiree for Luring Clients to RIA January 23, 2025 UBS to Pay $1.1 Million Over Deficient ‘Blue Sheet’ Reporting: Finra January 22, 2025 Ashton Thomas Lands $2.5 Billion-Asset Wells Fargo Team in California January 21, 2025 SEC Fines Wells, Mer...