Judy Wolf, formerly with Wells Fargo, allegedly attempted to make it appear she adequately reviewed a broker later charged with insider trading. <b><i>Plus, see <a href="http://www.investmentnews.com/gallery/20140507/FREE/507009999/PH/5-big-compliance-lessons-from-recent-sec-cases" target="_blank">5 compliance lessons from recent SEC cases</a></b></i>
Firm settles charges that compliance oversight was weak after 2008 acquisition of advisory unit.
Former intern claims she was offered Christian Louboutin shoes in exchange for sex; adviser and firm say she welcomed advances.
A tweak to Merrill Lynch business cards earlier this year caused a stir among some of the firm's 13,700 advisers.
Team of William Peragine and John Biondo join as Wells Fargo continues summer recruiting spree.
Mandell Crawley's former responsibilities will be distributed to other personnel
Financial Advocacy Network, a collective of 13 advisers with $450 million in assets, is hoping to grow to $1 billion in five years
$1.6 billion Hanson McClain claims Thomas Chandler and his new firm, Ameriprise, committed 'highway robbery' in taking client information.
Recent recruits include a former Merrill Lynch duo who managed $1.1 billion.
Charles Scwab's $15 million arbitration claim against Morgan Stanley for hiring brokers from its San Francisco office was rejected.
