Search for: "Wells Fargo Financial"
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8 Mar 2019, 5:21 am
Wells Fargo is also offering a loyalty award equal to 25% of the retiring adviser's T-12. [read post]
30 Aug 2018, 9:25 am
The Financial Industry Regulatory Authority (FINRA) has barred J. [read post]
13 Jun 2011, 8:08 pm
The lawsuit alleged that Wells Fargo, and its predecessor Wachovia, discriminated against female financial advisors by denying them business opportunities such as distribution of accounts and work assignments. [read post]
15 Dec 2010, 8:36 am
" Huzzah, Wells Fargo! [read post]
27 Jul 2018, 8:00 am
Previous registrations include Wells Fargo Clearing Services in Albany, New York (2012-2018); UBS Financial Services in Albany, New York (2006-2012); and Mercer Allied Company in Albany, New York (1999-2006). [read post]
4 May 2023, 7:49 am
He can be reached at Jeff@JeffNewmanLaw.com or at 617-823-3217 The post Wells Fargo to pay $3.7 Billion for alleged illegal practices appeared first on Jeff Newman Law. [read post]
25 Aug 2023, 7:20 am
The Securities and Exchange Commission 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 advisory fees. [read post]
22 Jun 2017, 2:55 pm
The Financial Industry Regulatory Authority is ordering Wells Fargo Securities (WFC) to pay a $3.25M fine for inaccuracies and mistakes in its reporting for over-the-counter trades that took place between January 2008 and March 2017. [read post]
20 Apr 2023, 1:18 pm
Wells Fargo will pay $97.8 million for helping facilitate more than 100 financial transactions, violating U.S. sanctions against Iran, Syria, and Sudan. [read post]
24 Oct 2017, 5:35 am
The Financial Industry Regulatory Authority (FINRA) has ordered Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC to pay more than $3.4 million in restitution to customers for alleged unsuitable recommendations of volatility-linked exchange-traded products (ETPs) and supervisory failures, according to InvestmentNews. [read post]
30 Mar 2020, 2:22 pm
Last month Wells Fargo Advisors Financial Network LLC agreed to settle administrative charges brought by the SEC, and will pay a $35 million civil penalty in order to resolve the matter. [read post]
6 Dec 2016, 8:17 am
Wells Fargo Bank NA. [read post]
6 Dec 2016, 8:17 am
Wells Fargo Bank NA. [read post]
4 Dec 2020, 9:17 am
FINRA Suspends Texas Broker For Three Months Kurt Jason Gunter, a Wells Fargo Clearing Services (WRET) registered representative in Bee Cave, Texas, was recently sanctioned by the Financial Industry Regulatory Authority (FINRA). [read post]
7 Jun 2023, 7:48 am
The post Wells Fargo Workers Drop Wage Suit, Head to FINRA Arbitration appeared first on Stoltmann Law. [read post]
27 Feb 2020, 1:39 pm
The Securities and Exchange Commission today announced settled charges against Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network for failing reasonably to supervise investment advisers and registered representatives who recommended…Read the Full Press ReleaseHave a securities law question? [read post]
21 Mar 2019, 9:01 pm
” “Wells Fargo raising its minimum hourly pay rate. [read post]
8 Jun 2021, 11:52 am
If you have lost money with Mario Rivero, Jr., Wells Fargo, or LPL Financial LLC, contact FINRA arbitration lawyers Iorio Altamirano LLP for a free and confidential evaluation of your account. [read post]
25 Sep 2016, 11:02 am
District Court in Utah…” See also Consumer Financial Protection Bureau Fines Wells Fargo $100 Million for Widespread Illegal Practice of Secretly Opening Unauthorized Accounts [read post]
13 Dec 2018, 7:00 am
POLITICO claims that the Trump administration has actively covered up a new report that shows Wells Fargo is exploiting college students with high penalties and fees. [read post]
