Tens of thousands of client names, Social Security numbers, account balances and more were mistakenly sent to an attorney representing a former employee against the bank.
FINRA representatives have asked at least one of the attorneys involved in the dispute for information about how the breach occurred and how Wells Fargo failed to detect it.
You’ve definitely heard these names before
The SEC attempts to clarify rules around standing letters of authorization, and when an RIA is subject to the 'custody rule.'
An Atlanta advisor is charged with commodities fraud, First Citizens Bank picks Envestnet to unify its technology, and Sax Wealth Advisors adds Sterling Portfolio Management.
Each time Vanguard names a new chief executive, stocks take a catastrophic tumble.
