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The SEC argued the firm marketed and sold the 'YES' strategy to about 600 investors between February 2016 and 2017, without offering advisors adequate training and failing to communicate the potential risks.
FINRA released a report from independent counsel Lowenstein Sandler, concluding there was no agreement between Wells Fargo’s counsel and the regulator to exclude certain arbitrators.
The Treasury Department and the Internal Revenue Service are likely to push off a January date for the firms to begin tracking data such as customers’ capital gains and losses.
Advisor Vance Barse never had a relationship with his biological father and carried around a lot of emotional baggage as a result. But when his father passed away, he finally got the closure he needed. And that moment was life-changing.
Patrick Egan’s interim suspension went into effect on June 21. Egan is a representative with the California-based firm Western International Securities, which was also named in the SEC's complaint.
