In a court filing, Wells Fargo argued there was "no evidence in the record" supporting the existence of a verbal agreement between its counsel and FINRA to exclude certain arbitrators from their cases.
What’s the secret to the success of top financial advisors? John Bowen of CEG Worldwide, coach to elite financial advisors, shares the “real gamechangers” that help them break through to the next level and accelerate growth—and more.
If confirmed by the U.S. Senate, Jaime Lizarraga would replace Allison Herren Lee and Mark Uyeda would fill an open Republican seat.
The Canadian aggregator of U.S. wealth management firms will use the proceeds of the IPO to pay down debt.
