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15 May 2012, 10:00 pm
In connection with FINRA’s efforts, UBS Financial Services, Morgan Stanley, Wells Fargo and Citigroup Global Markets Inc. have agreed to pay $7.3 million in fines and $1.8 million in restitution, totaling $9.1 million. [read post]
14 Jan 2021, 12:09 pm
Sandoz Inc. [read post]
18 Apr 2014, 8:24 am
Nothing We're Tracking Today (click for the complete Energy & EPA announcements) (c)Waste Information & Management Services, Inc. [read post]
23 Mar 2018, 6:23 am
Miller, Wachtell Lipton Rosen & Katz, on Tuesday, March 20, 2018 Tags: Board communication, Board oversight, Boards of Directors, Compliance & ethics, Corporate culture, Cybersecurity, ESG, FCPA, Fiduciary duties, Institutional Investors, ISS, Long-Term value, Proxy advisors, Risk, Risk management, Risk oversight, Wells Fargo A Regulatory Framework for Exchange-Traded Funds Posted… [read post]
16 Dec 2020, 3:00 am
Welcome to Abbott & Kindermann, Inc. [read post]
15 Feb 2016, 11:28 am
Among those funds is First Trust MLP and Energy Inc (NYSE:FEI) with $943 million in assets. [read post]
21 Jul 2017, 6:04 am
Securities and Exchange Commission, on Friday, July 14, 2017 Tags: Algorithmic trading, Capital formation, Capital markets, Dark pools, High-frequency trading, Information environment, Market efficiency, Private firms, SEC, SEC enforcement, Securities Act, Securities regulation, Transparency SEC Chairman Clayton on His Agenda Posted by Ning Chiu, Davis Polk & Wardwell LLP, on Friday, July 14, 2017 … [read post]
9 Nov 2020, 2:43 am
The defendants included affiliates of Bank of America Corp, Barclays Plc, Citigroup Inc, Goldman Sachs Group Inc, JPMorgan Chase & Co, Morgan Stanley, Royal Bank of Canada and Wells Fargo & Co. [read post]
2 Jan 2014, 6:25 am
” Do you suppose it also explains why Wells Fargo is able to federally-register the horse-drawn stagecoach non-verbal logo standing alone while Grupo Bimbo links its horse-drawn stagecoach logo to the Thomas’ English Muffin word mark and other trade dress elements? [read post]
23 Jan 2024, 9:01 pm
Wells Fargo Investors’ $1 billion settlement against Wells Fargo comes in the wake of years of scandal and resolves allegations that the bank concealed its inability to clean up its act. [read post]
18 Feb 2014, 2:38 pm
I became a stock and commodities broker and worked at the Commodity Exchange in the World Trade Center when it still existed. [read post]
12 Apr 2010, 5:11 pm
Berglund asserts a $17,369.82 trade payable and Island Water World appears to assert a $9,979.00 trade claim (the hand-written amount is difficult to read). [read post]
1 Jun 2020, 9:14 am
Stow was previously registered with Wells Fargo Advisors, LLC (CRD# 19616) and Suntrust Investment Services (CRD# 17499). [read post]
2 May 2022, 1:59 pm
Inc Darryl Cohen Morgan Stanley Wells Fargo Advisors, LLC Odalis Duran J.P. [read post]
8 Mar 2021, 12:19 pm
Intersecurities, Inc. [read post]
19 Feb 2022, 12:32 pm
Wells Fargo Alarm Services, a Div. of Baker Protective Services, Inc., 427 So. 2d 332 (Fla. 3d DCA 1983). [read post]
9 Aug 2023, 11:25 am
The firms and their penalties have been produced and outlined as follows: Wells Fargo Securities, LLC together with Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC agreed to pay a $125 million penalty; BNP Paribas Securities Corp. and SG Americas Securities, LLC have each agreed to pay penalties of $35 million; BMO Capital Markets Corp. and Mizuho Securities USA LLC have each agreed to pay penalties of $25 million; Houlihan Lokey Capital,… [read post]
8 Feb 2019, 6:04 am
Potential Changes to Fund of Funds Arrangements Posted by Thomas Hiller, Brian McCabe, and Edward Baer, Ropes & Gray LLP, on Friday, February 1, 2019 Tags: Exchange-traded funds, Investment advisers, Investment Advisers Act, Investor protection, Risk management, SEC, SEC rulemaking, Section 12(d), Securities regulation The Latest on Proxy Access Posted by Holly J. [read post]
15 Feb 2013, 6:00 am
Wells Fargo Home Mort., Inc, 398 F.3d 937 (7th Cir. 2005). [read post]
19 Dec 2006, 10:15 pm
Wells Fargo and its subsidiary Acordia Inc. are accused of steering their clients to insurance companies that paid Acordia "kickbacks," according to a lawsuit filed Tuesday by New York Attorney General Eliot Spitzer. [read post]
