Wells Fargo Investments

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  FINRA Fines Wells Fargo $2M on Sales to Elderly

  By Marlene Y. Satter, AdvisorOne  |  December 15, 2011

  FINRA announced Thursday that it has fined Wells Fargo Investments $2 million over sales of unsuitable reverse convertibles to the elderly and a failure to provide breakpoints on unit investment trust sales.

• 3 Reps Get $3 Million in NASD Case

  By Janet Levaux, AdvisorOne  |  December 1, 2006

  Upon leaving Merrill Lynch in 2003, three advisors say they joined Banc of America Investment Services -- and moved with their families from the Cleveland...

• You Rang?

  By Marian Miller Chang  |  April 1, 2006

  Customer service--true customer service such as returning phone calls in a timely manner or simply being polite and thoughtful or providing innovative solutions to problems--is...

• NASD Levies Fines of $34 Million on 15 Broker/Dealers for Shelf Space Violations

  By James J. Green, AdvisorOne  |  June 9, 2005

  Part of effort to remove conflicts of interest