Wells Fargo Fined $3M For Missing 'Unsuitable' Short-Term Trades

Published on September 12, 2024

FINRA says multiple reps at the wirehouse recommended short-term buying and selling of securities meant to be held long term.

Continue reading on website
Other news

How to Talk to Clients Who Fear the End of the Bull Market

September 12, 2024
Volatility is back, but that doesn't mean a bear market is around the corner.      Related StoriesWhy Retirement Trends Matter to the Fed's Call on Interest Rates - EnclosureNew Ways to Help Clients Move Beyond the 60/40 Portfolio - EnclosureThe Unavoidable Truth About Retirement Investing: Josh Brown

SEC Charges Pastor-Turned-Advisor With $2.4M Fraud

September 12, 2024
The former advisor sold phony promissory notes to Christian clients, the SEC alleges.