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22 Dec 2022, 3:15 am
That topped the previous record of $1 billion, which was the fine assessed against Wells Fargo in 2017. [read post]
20 Dec 2022, 7:10 pm
” Wells Fargo CEO and President Charles Scharf stated the company’s intent “to transform the operating practices at Wells Fargo and to put these issues behind us. [read post]
19 Dec 2022, 6:06 am
Especially if that employer is Wells Fargo Advisors. [read post]
19 Dec 2022, 3:25 am
TD Ameritrade Customer Sues Over Alleged Wrongful Margin Sell-Out (BrokeAndBroker.com Blog)FINRA Sued in the Wrong Place At the Wrong Time Affirms Federal Circuit Court (BrokeAndBroker.com Blog)FINRA and Citigroup Global Markets Not SHO Enough (BrokeAndBroker.com Blog)Federal Court Denies Reconsideration of FINRA Referral Letter Cited In Federal Insider Trading Appeal (BrokeAndBroker.com Blog)CFPB Orders Wells Fargo to Pay $3.7 Billion for Widespread Mismanagement of Auto… [read post]
19 Dec 2022, 3:25 am
TD Ameritrade Customer Sues Over Alleged Wrongful Margin Sell-Out (BrokeAndBroker.com Blog)FINRA Sued in the Wrong Place At the Wrong Time Affirms Federal Circuit Court (BrokeAndBroker.com Blog)FINRA and Citigroup Global Markets Not SHO Enough (BrokeAndBroker.com Blog)Federal Court Denies Reconsideration of FINRA Referral Letter Cited In Federal Insider Trading Appeal (BrokeAndBroker.com Blog)CFPB Orders Wells Fargo to Pay $3.7 Billion for Widespread Mismanagement of Auto… [read post]
19 Dec 2022, 3:25 am
FINRA and Citigroup Global Markets Not SHO Enough (BrokeAndBroker.com Blog)Federal Court Denies Reconsideration of FINRA Referral Letter Cited In Federal Insider Trading Appeal (BrokeAndBroker.com Blog)CFPB Orders Wells Fargo to Pay $3.7 Billion for Widespread Mismanagement of Auto Loans, Mortgages, and Deposit Accounts / Company repeatedly misapplied loan payments, wrongfully foreclosed on homes and illegally repossessed vehicles, incorrectly assessed fees and interest,… [read post]
19 Dec 2022, 3:25 am
FINRA Sued in the Wrong Place At the Wrong Time Affirms Federal Circuit Court (BrokeAndBroker.com Blog)FINRA and Citigroup Global Markets Not SHO Enough (BrokeAndBroker.com Blog)Federal Court Denies Reconsideration of FINRA Referral Letter Cited In Federal Insider Trading Appeal (BrokeAndBroker.com Blog)CFPB Orders Wells Fargo to Pay $3.7 Billion for Widespread Mismanagement of Auto Loans, Mortgages, and Deposit Accounts / Company repeatedly misapplied loan payments,… [read post]
30 Nov 2022, 2:13 pm
”[12] Below we examine two recent district court decisions from 2022 in which the courts rejected the price impact arguments raised by the defendants and provided important analysis of the issues posed by the dissemination of complex or confusing information as well as the time it can take new information to impact a stock’s market price. [read post]
17 Nov 2022, 2:00 am
Recently, Votaw attended a conference and sat in a on an economic update where Wells Fargo predicted a very soft recession early 2023, she says. [read post]
3 Nov 2022, 2:00 am
What You Need to Know Paulina Buhagiar had worked for Wells Fargo Bank for about two years when she informed her supervisor she was experiencing chest pains and having a hard time breathing. [read post]
24 Oct 2022, 2:31 pm
Grace & Company, Inc.: Alvin H. [read post]
20 Oct 2022, 8:35 am
He also established and administered coalitions of companies and trade associations that share common legislative and regulatory objectives. [read post]
16 Oct 2022, 7:24 am
Wells Fargo & Company, et. al (USDC ND Cal 3:22-cv-03811); Securities Class Action alleging that Wells Fargo, as part if its efforts to diversify its work force, instituted a “Diverse Search Requirement,” also referred to as a diverse slate hiring policy which apparently was not effectuated; leading to fake interviews of diverse candidates and eventually paused. [read post]
5 Oct 2022, 12:51 pm
She demanded data from all seven of the big banks: JPMorgan Chase, Wells Fargo, US Bank, PNC, Capital One, Bank of America, and Truist. [read post]
27 Sep 2022, 9:04 pm
Indeed, when the CFPB helped to uncover the “fake accounts” scandal at Wells Fargo, it was not necessarily the $100 million fine on the bank that was material. [read post]
23 Sep 2022, 7:16 pm
It's an arbitrary, discriminatory distinction: while Judge Yvonne Gonzalez Rogers had some serious misconceptions that will hopefully give rise to a reversal and remand, there are issues she figured out pretty well, one of which is that she told Tim Cook Apple was charging the gamers to subsidize Wells Fargo. [read post]
23 Sep 2022, 5:53 pm
Wells Fargo, N.A., (2018) the court held that employers are not required to provide final wage statements (pay stubs) at the same time as the final check, but instead have until the semimonthly deadline set forth in Labor Code section 226(a). [read post]
17 Sep 2022, 9:15 am
Promoter of Foreign Cryptocurrency Company Sentenced to Prison for Role in Fraud Scheme (DOJ Release)Federal Court Orders Defendants to Pay More than $6.6 Million for Defrauding Binary Options Pool Participants (CFTC Release)FINRA Fines and Suspends Former Wells Fargo Clearing Services Rep for Suitability involving New Issue Preferred Securities and Cell Phone CommunicationsIn the Matter of Solomon Wei-En Hua, Respondent (FINRA AWC)= = =September 19, 2022SEC Buries the… [read post]
5 Sep 2022, 8:08 am
Although this situation arguably was unusual in that the SPAC held a valuable financial asset beyond the trust funds, it could well be that there are other circumstances involved with SPAC liquidations that could give rise to litigation as well. [read post]
4 Sep 2022, 2:53 pm
There are a lot of solutions that may serve the needs of your company but working them into the structure of your organization is vital to your ultimate success. [read post]
