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Massachusetts Regulators Open Investigation into Wells Fargo Advisors

Secretary of the Commonwealth William Galvin has opened an investigation into Wells Fargo Advisors over inappropriate referrals of brokerage customers to managed and advisory...

Galvin Charges Scottrade with Fiduciary Rule Violations

Secretary of the Commonwealth William Galvin has charged broker-dealer Scottrade Inc. with dishonest and unethical activity and failure to supervise. Galvin's office alleges that...