Search for: "Wells Fargo Investments LLC"
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24 Feb 2023, 4:59 pm
Dougherty was previously employed by Wells Fargo Clearing Services LLC. [read post]
13 Mar 2020, 2:23 pm
Abe’s LLC also held investment accounts with Wells Fargo. [read post]
21 May 2009, 8:06 pm
California Attorney General Edmund G Brown, Jr. is suing Wells Fargo Investments LLC, Wells Fargo Institutional Securities, and Wells Fargo Brokerage Services for $1.5 billion. [read post]
29 Oct 2021, 9:15 am
Welsh was registered with Wells Fargo Clearing Services, LLC in Fairfield, NJ. [read post]
14 Dec 2021, 9:00 am
The regulator censured and fined Wells Fargo Advisors Financial Network $100,000; and censured and fined Wells Fargo Clearing Services $550,000 plus $2.083 million in restitution. [read post]
8 Mar 2022, 8:18 am
Recently, two former clients of Wells Fargo, Brian Leggett and Bryson Holdings LLC, filed an arbitration claim against Wells Fargo and advisor Jay Wilson Pickett III after a merger arbitrage strategy caused them to sustain losses of $1,178,446 between 2015 and 2016. [read post]
20 Aug 2021, 2:28 pm
Hajra consented to the suspension after FINRA alleged that, while associated with Wells Fargo Clearing Services, LLC in Marietta, GA, Mr. [read post]
20 Jan 2012, 8:09 am
Have you suffered investment losses in the Wells Fargo Global Dividend Advantage Opportunity Fund? [read post]
9 Jun 2009, 2:13 pm
According to a Wall Street Journal report, the Wells Fargo settlement involves its Boston-based mutual fund Evergreen Investment Management Co, while the Bank of America settlement resolves charges regarding the sale of auction rate securities. [read post]
26 Jun 2018, 11:45 am
Wells Fargo Advisors LLC reportedly agreed to settle charges of misconduct. [read post]
12 May 2012, 4:25 am
., LLC ("Morgan Stanley"); UBS Financial Services ("UBS"); and Wells Fargo Advisors, LLC ("Wells Fargo") were sanctioned for sales of leveraged and inverse exchange-traded funds ("ETFs") without reasonable supervision and without a reasonable basis for recommending these ETFs. [read post]
12 May 2012, 4:25 am
., LLC ("Morgan Stanley"); UBS Financial Services ("UBS"); and Wells Fargo Advisors, LLC ("Wells Fargo") were sanctioned for sales of leveraged and inverse exchange-traded funds ("ETFs") without reasonable supervision and without a reasonable basis for recommending these ETFs. [read post]
5 Nov 2020, 9:18 am
First Clearing LLC (Wells Fargo Clearing Services) accepted the sanctions on November 4, 2020. [read post]
24 Dec 2019, 11:00 am
Leonard Charles Kinsman (CRD: #2816535) is a former registered broker and investment advisor whose last employer was Wells Fargo Advisors Financial Network, LLC (CRD#:11025) of Staten Island, NY, until 7/4/2019. [read post]
11 Jul 2017, 1:38 pm
Wells Fargo Clearing Services, LLC operates as a subsidiary of Wells Fargo Advisors, LLC. [read post]
6 Apr 2011, 11:28 am
The United States Securities and Exchange Commission announced that Wells Fargo Securities LLC consented to an $11.2 million fine in connection with the sale of collateralized debt obligations (CDOs) in late 2006 and early 2007. [read post]
18 Sep 2013, 7:17 am
In the Matter of Adorean Boleancu, Respondent (AWC 2011030687701, March 5, 2013).The AWC alleges that from at least April 2008 through January 2010, while registered at Wells Fargo Advisors, LLC, and its predecessor Wells Fargo Investments, LLC (collectively, “Wells Fargo”), Boleancu converted at least $650,000 from an elderly, widowed customer.Y... [read post]
7 May 2012, 2:07 pm
., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC. more than $9.1 million in total for selling leveraged and inverse exchange-traded funds or ETFs. [read post]
8 Oct 2014, 3:28 am
READ: In the Matter of Wells Fargo Advisors LLC, Respondent (WFA OIP, '34 Act Release No. 73175; Investment Advisers Act of 1940 Release No. 3928;Administrative Proceeding File No. 3-16153 / September 22, 2014). [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]
