Search for: "WELLS FARGO & COMPANY"
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16 Nov 2023, 9:04 am
Collecting over $400 million in combined civil penalties from twenty-five broker-dealers, advisory firms, and credit rating agencies for violations of federal recordkeeping requirements, including: Wells Fargo Bank Scotia Capital HSBC Global technology company ABB, Ltd, agreed to pay a $75 million civil penalty to resolve charges related to an alleged bribery scheme Companies that engaged in self-reporting, self-policing, remediation, and cooperation with SEC… [read post]
15 Nov 2023, 6:26 am
For example: Twenty-five advisory firms, broker-dealers, and/or credit rating agencies, including Wells Fargo, HSBC, and Scotia Capital, agreed to pay combined civil penalties totaling more than $400 million to settle charges that they violated the recordkeeping requirements of the federal securities laws; and ABB Ltd., a global technology company, agreed to pay a $75 million civil penalty to resolve charges arising out of an alleged bribery… [read post]
14 Nov 2023, 9:01 pm
For example: Twenty-five advisory firms, broker-dealers, and/or credit rating agencies, including Wells Fargo, HSBC, and Scotia Capital, agreed to pay combined civil penalties totaling more than $400 million to settle charges that they violated the recordkeeping requirements of the federal securities laws; and ABB Ltd., a global technology company, agreed to pay a $75 million civil penalty to resolve charges arising out of an alleged bribery scheme. [read post]
8 Nov 2023, 10:14 pm
The regulator sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
25 Oct 2023, 6:30 am
The recent cascade of corporate crises involving companies whose boards shared those positive features (such as Credit Suisse, Danone, GE, GSK, Wells Fargo and WeWork, among others) has opened up the discussion on how to improve the board model and develop better corporate governance. [read post]
25 Oct 2023, 6:30 am
The recent cascade of corporate crises involving companies whose boards shared those positive features (such as Credit Suisse, Danone, GE, GSK, Wells Fargo and WeWork, among others) has opened up the discussion on how to improve the board model and develop better corporate governance. [read post]
23 Oct 2023, 12:12 pm
Other major businesses, including Bank of America, Citi, Deutsche Bank, Goldman Sachs, Wells Fargo, and JPMorgan, have also imposed restrictions on employees’ use of Chat GPT due to similar concerns. [read post]
18 Oct 2023, 6:42 am
‘As a cashier’s check, it was purportedly made or drawn by and drawn upon Wells Fargo, N.A. [read post]
2 Oct 2023, 8:32 am
Wells Fargo pledged $450 million. [read post]
22 Sep 2023, 6:54 am
JPMorgan Chase, Bank of America, Wells Fargo, and others, next year plan to launch Paze: a mobile wallet that will connect directly to the credit and debit card accounts of 150mn customers. [read post]
14 Sep 2023, 8:35 pm
We recommend employers develop a separation checklist to ensure the company’s policies are followed as well as all applicable laws that pertain to the employer. [read post]
Hunter Plays Hamlet on the Delaware: New Filings in the Laptop Litigation Take a Shakespearean Twist
10 Sep 2023, 7:43 am
These refusals continued despite the fact that the Isaac team forced the disclosure of “frequent uses of Wells Fargo ATMs within a few miles of Mac Isaac’s shop. [read post]
31 Aug 2023, 10:02 pm
It wouldn’t be too surprising to see efforts to shift some of the burden of AI scams off consumers and onto tech companies in this country as well. [read post]
24 Aug 2023, 11:18 am
Wells Fargo was one of the first derivative settlements of this modern era which included a very large monetary settlement. [read post]
21 Aug 2023, 4:34 am
The burden then shifted to the petitioner to raise a question of fact as to whether the statute of limitations has been tolled or is otherwise inapplicable, or whether the petitioner actually commenced the proceeding within the applicable limitations period (see Edem v Wondemagegehu, 175 AD3d at 467; Coleman v Wells Fargo & Co. [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… [read post]
9 Aug 2023, 4:37 am
“Other banks face problems similar to those of Wells Fargo. [read post]
8 Aug 2023, 12:22 pm
" Wells Fargo was hit with the biggest fines, agreeing to pay the SEC a $125 million penalty and the CFTC another $75 million. [read post]
8 Aug 2023, 9:31 am
The SEC’s investigation into violations by Wells Fargo Securities, LLC, Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC, was conducted by Kashya Shei and supervised by Jason H. [read post]
4 Aug 2023, 7:16 am
Josette Santos Wells Fargo Clearing Services, LLC FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers. [read post]
