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The Motley Fool
August 30, 2007
Selena Maranjian |
A Better Way to Check Your Broker? A former SEC guy is aiming to help you steer clear of ne'er-do-wells. Meanwhile, make sure that the brokerage you're using is best for your needs. Odds are, you can find a better brokerage that charges you less or offers more services.   |
Financial Planning
January 1, 2005
Humberto Sanchez |
The Muni Market Morgan Stanley pays for violating the disclosure rule in failing to disclose to purchasers of municipal bonds that the bonds could be called prior to their maturity dates. |
The Motley Fool
October 17, 2007
Emil Lee |
All's Well at Wells Fargo Wells Fargo digs in its cleats. Investors, the bank did very well in almost every category. Wholesale banking, asset-based lending, commercial real estate and the mutual fund business all grew by double digits in the past quarter. |
The Motley Fool
April 18, 2006
Stephen D. Simpson |
Is All Well at Wells Fargo? Mortgages have weakened, but Wells Fargo still looks strong. Investors, take note. |
Investment Advisor
January 2010
James J. Green |
BAIS Moves Reps to Merrill Banc of America Investment Services (BAIS), Inc., transitioned its registered representatives to Merrill Lynch, and then requested that FINRA withdraw BAIS's broker/dealer registration. |
National Real Estate Investor
October 15, 2003
Parke Chapman |
NASD Fines Wells REIT Sponsor For Rewarding Brokers Wells Investment Services, sponsor of Wells Real Estate Investment Trust (REIT), has been sanctioned by the National Association of Securities Dealers (NASD) for rewarding broker/dealer reps who sell shares of the REIT with non-cash gifts. |
BusinessWeek
January 27, 2011
Dakin Campbell |
Wells Fargo Is Ready to Roll Careful mortgage lending practices helped the San Francisco bank avoid the problems plaguing large rivals such as Bank of America and Citigroup. |
Registered Rep.
May 31, 2013
Megan Leonhardt |
Sizing Up the Street In the latest earnings cycle, here's how the wirehouses stacked up. |
Registered Rep.
March 1, 2008
Kristen French |
The Lending Squeeze The tightening credit conditions is causing some financial advisors to have trouble getting loans for clients. |
The Motley Fool
April 17, 2007
Nathan Parmelee |
No More Surprises From M&T The bank's shares respond well after meeting the company's own lowered expectations. Investors, take note. |
The Motley Fool
July 18, 2006
Stephen D. Simpson |
Going Back to the Wells Fargo This huge bank may not be quite as risky as investors think. The bank has the power to grow a little faster than its peers in the coming years. |
Registered Rep.
October 8, 2010
Kristen French |
Wells Fargo Advisors Hikes Recruiting Bonuses 100 bps In the next couple of months, major Wall Street brokers may be giving Wells Fargo Advisors a closer look. |
Investment Advisor
April 2008 |
News & Products, April 2008 FINRA has settled cases against five firms... Fidelity Investments has agreed to pay an $8 million penalty... FINRA fined and suspended 16 registered reps of State Farm VP Management Corp. of Bloomington, Illinois... etc. |
Investment Advisor
December 2007 |
News & Products, December 2007 FINRA fined Oppenheimer Co., Inc. $1 million... Compliance officers at broker/dealer firms will have a chance to discuss new and changing regulations... Christine Nigro has been promoted to president of AXA Advisors, LLC... etc. |
Registered Rep.
August 2, 2005
Kristen French |
Morgan Stanley Fined $6.1 Million for Fee-Based Brokerage Slip-Ups NASD's investigation showed that from January 2001 through December 2003, Morgan Stanley failed to establish and maintain a supervisory system to review and monitor its fee-based brokerage business. |
The Motley Fool
May 11, 2011
Selena Maranjian |
Sneak a Peek at Your Broker's Record Find out whether your broker has been in trouble. |
Registered Rep.
October 1, 2012
Diana Britton |
Comings & Goings: October 2012 Fidelity Investments recently promoted Abigail Johnson... Denise Morrison has joined Securities America... Wells Fargo Advisors has named Eduardo Queen as strategy director... |
The Motley Fool
April 17, 2008
Morgan Housel |
Wells Fargo Dodges the Housing Bullet San Francisco-based Wells Fargo has performed remarkably well amid one of the nuttiest banking markets in decades. |
Financial Advisor
February 2006
Gail Liberman |
Burning Down The House? Although home equity lines of credit are a useful financial planning tool, a growing chorus of experts is concerned that consumers could be overextending themselves as rates rise. |
The Motley Fool
January 22, 2011
Nick Nejad |
Wells Fargo's CEO on Market Share, Repurchase Risk Two points you may have missed from the bank's fourth-quarter results. |
The Motley Fool
January 17, 2006
Stephen D. Simpson |
Wells Fargo: Doing Well So Far? Despite a very slight earnings miss, this is a top-notch bank and there's definitely a credible argument that it's currently undervalued. |
The Motley Fool
May 31, 2007
Ryan Fuhrmann |
Fool on the Street: Rock-Solid Wells Fargo Wells Fargo is peerless in terms of its expansion track record, and if it can keep cross-selling its way to similar levels of growth, it may turn out to be one of the best financial stocks for 2007 -- and beyond. |
On Wall Street
November 1, 2011 |
Who's News Wells Fargo Advisors hired a father-son advisor team in Oak Brook, Ill., Wells Fargo has also hired Morgan Stanley Smith Barney advisor Joseph Jaworski in Melville, N.Y., and Morgan Stanley Smith Barney hired Frank Roccisano from UBS. |
Registered Rep.
February 15, 2012
Diana Britton |
More Advisors Fleeing Morgan Keegan Morgan Keegan has lost seven financial advisors since December, FINRA filings show. They follow some 190 other advisors who fled over the past six months. |
On Wall Street
February 1, 2010
Frances A. McMorris |
When Firms Collide: Is Culture Clash Inevitable? Merged companies have been integrated and new executives have taken up their posts, but everyone is still trying to adjust. |
The Motley Fool
June 7, 2011
Cindy Johnson |
More Evidence Banks May Be Starting Another Race to the Bottom Defaulted on your mortgage recently? They'll consider you for a loan. |
The Motley Fool
January 18, 2012
Ilan Moscovitz |
What's Next for Bank Stocks A recap of Tuesday's biggest movers. |
The Motley Fool
April 11, 2007
Ryan Fuhrmann |
Foolish Forecast: Bank on Wells Fargo The banking behemoth is set to report its first-quarter 2007 financial results. Investors, here is what you can expect to see. |
BusinessWeek
July 22, 2010
Bradley Keoun |
Bank Profits Are Worse Than They Look Two accounting adjustments made the bottom line bigger at the nation's six largest banks. |
Registered Rep.
April 21, 2011
Kristen French |
Morgan Stanley Wealth Management Assets Up, Headcount and Margins Down Morgan's other two divisions -- institutional securities and asset management -- recorded declines in income and revenues. |
The Motley Fool
March 22, 2007
Ryan Fuhrmann |
Worst to First at Morgan Stanley CEO John Mack has quickly put Morgan Stanley back on the pedestal of highly respected Wall Street firms. How long it stays there is anyone's guess, but now may not be the time for investors to bet against it. |
Registered Rep.
December 21, 2012
Megan Leonhardt |
Looking Back, 2012 A Mixed Bag For Wirehouses Assets mostly were up, but advisors are on the move. |
The Motley Fool
March 3, 2010
Robert Brokamp |
You Need a Financial Advisor If you can't or would rather not manage your money, then a fee-only financial advisor is your best bet. |
On Wall Street
June 1, 2011
Lorie Konish |
Dodd-Frank Prompts Brokerage Industry to Increase Lobbying Efforts With many issues surrounding the Dodd-Frank Wall Street Reform and Consumer Protection Act set to come to a head in the next year, advocacy is more important than ever for financial industry groups. |
The Motley Fool
December 12, 2007
Dan Caplinger |
Early Christmas for Mortgage Borrowers There's some good news on the mortgage front for a change. Lending has not come to a grinding halt. In fact, for those who have good credit and qualify for standard fixed-rate loans, mortgages have actually gotten more affordable. |
Real Estate Portfolio
Nov/Dec 2004
Courtney Darby |
Outside the Box Equity REITS explore structured finance opportunities as mortgage REITs welcome the competition. |
The Motley Fool
November 7, 2008
Morgan Housel |
Wells Fargo Doubles Down Wells Fargo raises $11 billion in fresh equity by issuing common stock, down from the $20 billion it planned on raising to help usher in its pending of acquisition of Wachovia. |
Registered Rep.
April 8, 2004
Joan Warner |
Trouble In The House That Purcell Built? After suffering through a cruel bear market, Morgan Stanley has come under regulatory scrutiny and legal fire for practices in several key businesses in the past two years, including mutual fund sales. |
Registered Rep.
October 17, 2011
Patrick J. Burns |
Don't Ignore That Promissory Note One of the trickiest components when it comes to a broker's departure from a wirehouse firm is how to handle the promissory note. |
The Motley Fool
January 26, 2007
Ryan Fuhrmann |
The Best Financial Stock for 2007: Wells Fargo A solid history of sales and earnings growth put this company in the running. Investors, take note. |
Registered Rep.
December 1, 2011
Kristen French |
Broker Report Card 2011: It's Getting Better All the Time Registered Rep.'s 21st annual Broker Report Cards showed advisor satisfaction ratings creeping higher this year across the board -- on everything from compensation and benefits, compliance support and sales support to products. |
Registered Rep.
February 1, 2005 |
By the Numbers Top 10 Broker/Dealers, by Advisor Headcount: Merrill Lynch... Wachovia... Smith Barney... Morgan Stanley... etc. |
Financial Planning
January 1, 2007 |
Corrections In the October 2006 issue, the feature "Rethinking Retirement Income" incorrectly describes... The "On the Road" section of the December 2006 issue incorrectly stated... |
The Motley Fool
April 15, 2009
Alex Dumortier |
Is Wells Fargo $50 Billion Short? Wells Fargo will require an extra $50 billion in common equity if it is to repay its TARP investment and achieve a reasonable capital cushion. |
The Motley Fool
January 17, 2012
Anand Chokkavelu |
Why Wells Fargo Is Up but Citi Is Tanking Differing bank earnings. |
Registered Rep.
November 12, 2003 |
Morgan Stanley Launches Conflict-of-Interest Probe Morgan Stanley has announced it is conducting an in-house conflict-of-interest probe. |
BusinessWeek
July 14, 2003
Anne Tergesen |
Home Loans with Bells and Whistles Some new twists on mortgages offer more flexibility -- for a price. |
The Motley Fool
July 30, 2008
Morgan Housel |
30-Second Overview: Wells Fargo Quick information on Wells Fargo, one of the market's only rock-solid banks. |
U.S. Banker
April 2002
Paul Muolo |
2001 Great, But Not Perfect Residential loan volumes hit amazing records in 2001, but the picture wasn't so cheery on the servicing side... |
Investment Advisor
August 2009 |
B/D News Broker/Dealer news: SEC Enforcement... BOA and broker protocol... FINRA surveys retail sales practices... |
