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SEC Charges Wells Fargo Advisors with Anti-Money Laundering Violations

The Securities and Exchange Commission has charged Wells Fargo Advisors with failing to file at least 34 suspicious activity reports in a timely manner...

SEC Charges Former LPL/Wells Fargo Broker with Stealing $680,000 from Clients

The Securities and Exchange Commission has charged Mario E. Rivero Jr., a former broker and investment adviser, with misappropriating at least $680,000 from his...

Private Equity Firms Complete Acquisition and Rebrand of Wells Fargo Asset...

Private equity firms GTCR LLC and Reverence Capital Partners L.P. have completed their previously announced acquisition of Wells Fargo Asset Management and have rebranded...

Wells Fargo Asset Management Rebrands and Names New CEO

Wells Fargo Asset Management, an asset management firm with $604 billion in assets under management, will soon rebrand as Allspring Global Investments. As reported by...

Wells Fargo to Sell Asset Management Arm to Two Private Equity...

Wells Fargo & Company (NYSE: WFC) has agreed to sell Wells Fargo Asset Management to private equity firms GTCR LLC and Reverence Capital Partners...

iCapital Network to Buy Wells Fargo Alternative Investments Feeder Fund Platform

iCapital Network, a financial technology focused on alternative investing for the asset and wealth management industries, has agreed to purchase the alternative investments feeder...

FINRA Panel Rules that Wells Fargo Violated Nevada’s New Fiduciary Rule

In a landmark arbitration decision, the Financial Industry Regulatory Authority ruled that Wells Fargo must pay investor Ann De Jong, an emergency room physician,...

Massachusetts Fines Wells Fargo $450,000 over Unregistered Agents and Supervisors

The Massachusetts Securities Division has fined Wells Fargo $450,000 for failing to ensure that its agents and supervisors were appropriately registered in Massachusetts. Wells Fargo...

Wells Fargo Names New President of Brokerage Unit

Wells Fargo Advisors, the brokerage unit of Wells Fargo & Company (NYSE: WFC), has named Jim Hays as its new president. Hays, based in St....

Wells Fargo Names New Head of Asset Management Unit

Wells Fargo & Co. (NYSE: WFC), a financial services company with $1.9 trillion in assets, has appointed Nico Marais as chief executive officer and...
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