Wells Fargo announced late Thursday it plans to appoint President and CEO Charlie Scharf chairman of…
Tag: Corporate governance
UBS director accused of CE cheating resigns
A former managing director for UBS’ wealth management business in Silicon Valley is no longer with…
UBS asks court to quash $1M arb award
UBS is going to court to try to overturn a $1 million arbitration penalty it was…
Morgan Stanley, Raymond James CEOs on the advantages of size
At a time when many advisors dream of breaking away to start their own practices, the…
FINRA to reopen supervision plans in WhatsApp cases
FINRA is looking to lighten the supervision burden on nearly 80 firms that reached settlements before…
Ex-Schwab advisor sues over age, sex discrimination
An ex-Charles Schwab advisor is suing her former employer over alleged age and sex discrimination and…