Wells Fargo Advisors, the bank’s brokerage unit, recruited a former UBS advisor team that oversaw $1.6 billion in assets ...

Both brokerage firms moved a customer’s uninvested cash from a brokerage account into an interest-bearing account, violating ...

Later last month, Wells added advisor Gregg Lippert from Merrill Lynch in Frontenac, Missouri. Lippert oversaw more than $205 million in assets and produced more than $1.3 million in annual revenue at ...

According to the complaint filed in Arizona federal court, the firm’s cash sweep practices “violate common law, federal law ...

Osaic and three subsidiaries were sued today in federal court by investors who alleged the firms breached their fiduciary duties by profiting from their cash sweep accounts at their clients’ expense.

The hybrid RIA is the latest firm to face allegations that it enriched itself at customers' expense by paying unfairly low interest rates in its cash sweep programs.

LPL Financial welcomes a $345 million investment and planning team from Ameriprise as RayJay's employee advisor arm adds a ...

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