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Proprietary Products

April 27, 2018 Wells Fargo Filing Admits Investigation into 401(k)-to-IRA Rollover Recommendations
April 10, 2018 Wells Fargo Wealth Management Investigated for Unsuitable Investments, Self-Dealing
March 06, 2018 DOJ Orders Review of Wells Fargo Advisors' Sales Practices and Recommendations
December 27, 2017 NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats
November 01, 2016 Unsuitable and Risky Oil and Gas Sales and Plummeting Energy Investments Cost Elderly Clients Millions of Dollars in Losses
September 06, 2016 Ameriprise Financial Failed to Supervise Michael Halla's Unsuitable Closed End Fund Short-Term Trading, Fined $100,000
January 06, 2016 2016 FINRA Priorities Letter Includes Brokerage Firm Culture and Ethics, Suitability, Seniors, Complex Products
December 19, 2015 J.P. Morgan Ordered to Pay Over $300 Million for Conflict of Interest Disclosure Failures