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23 Feb 2023, 10:04 am
On February 2, 2023, a FINRA arbitration panel awarded the Claimant, Wells Fargo Advisors, LLC a sum of 15,300,000.00 in Compensatory Damages and over $4,000,000.00 in additional costs and attorney fees. [read post]
2 Apr 2020, 3:06 pm
Wells Fargo Advisors, LLC aka Wells Fargo Clearing Services, LLC (CRD #19616, St. [read post]
24 Oct 2018, 11:59 am
The post Zamansky LLC Investigates Wells Fargo Financial Advisor John Greg Schmidt of Dayton, Ohio appeared first on Zamansky LLC. [read post]
19 May 2021, 8:34 am
The post Former Wells Fargo Advisor Sentenced to Prison for Investment Fraud appeared first on Zamansky LLC. [read post]
7 Feb 2013, 9:41 am
On February 6, 2013, the Financial Industry Regulatory Authority (FINRA) announced that a public customer was awarded an award of full rescission against Wachovia Securities, LLC, doing business as Wells Fargo Advisors, LLC ("Wells Fargo") for the entirety of Fannie Mae Preferred shares recommended by Wells Fargo. [read post]
22 Jun 2018, 1:47 pm
Hawley is a registered broker currently with Wells Fargo Clearing Services, LLC (CRD #19616). [read post]
7 Jul 2023, 1:24 pm
Wells Fargo Clearing Services, LLC also uses the trade name of Wells Fargo Advisors. [read post]
27 Dec 2023, 2:02 pm
The post Louis Goff, Wells Fargo Advisor, Barred by FINRA appeared first on The White Law Group. [read post]
25 Aug 2023, 6:05 am
The Securities and Exchange Commission today charged Wells Fargo Clearing Services LLC and Wells Fargo Advisors Financial Network LLC (collectively, Wells Fargo) for overcharging more than 10,900 investment advisory accounts more than $26.8 million in…Read the Full Press Release Have a securities law question? [read post]
17 May 2018, 1:47 pm
He was employed at Wells Fargo Advisors Financial Network LLC from 2009 to 2017. [read post]
14 Feb 2022, 10:37 am
The post Ex-Wells Fargo Advisor Kenneth Welsh Sued for $10 Million appeared first on The White Law Group. [read post]
29 Dec 2020, 7:56 pm
Iorio Altamirano LLP is investigating claims on behalf of Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC customers (together “Wells Fargo” or the “Firm”) who received recommendations to switch from variable annuities to investment company products. [read post]
5 Jun 2017, 2:14 pm
(“Wells Fargo“) filed four third-party complaints against BlackRock Advisors, LLC, Pacific Investment Management Company, LLC, Teachers Advisors, LLC, TIAA-CREF Investment Management, LLC, and PGIM, Inc. [read post]
3 Oct 2017, 11:25 am
The post Zamansky LLC Investigates Sales of Puerto Rico Municipal Bonds by Morgan Stanley and Wells Fargo to Brokerage Customers appeared first on Zamansky LLC. [read post]
15 Feb 2018, 9:36 am
During the course of his career, he worked at UBS for nearly twenty years, and thereafter, from 2008-2016, worked as a registered representative for Wells Fargo Advisors, LLC (“Wells Fargo”) (CRD# 19616). [read post]
14 Mar 2016, 3:16 pm
Tuchman (“Michelle Tuchman”) for more than $1.3 million in compensatory damages, resulting from Wells Fargo Advisors, LLC’s (“Wells Fargo”) wrongful termination of Bruce Tuchman and illegal conversion of funds from Michelle Tuchman’s brokerage account. [read post]
12 Sep 2018, 8:32 am
The investment fraud attorneys at Gana Weinstein LLP are currently investigating Wells Fargo Clearing Services, LLC (Wells Fargo) broker Peter Malis (Malis). [read post]
9 May 2012, 2:28 pm
In November 2011, Wells Fargo Advisors, LLC. filed an arbitration claim against Kenneth Ray Koger. [read post]
5 Dec 2017, 7:50 am
The Financial Industry Regulatory Authority (FINRA) ordered Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC (Wells Fargo) to pay more than $3.4 million in restitution to customers for unsuitable recommendations of volatility-linked exchange-traded products (ETPs) and supervisory failures concerning the sales of these products. [read post]
15 Jul 2015, 11:07 am
On July 6, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC (collectively, “Wells Fargo”), Raymond James & Associates, Inc., Raymond James Financial Services, Inc. [read post]
