Search for: "Wells Fargo Securities, LLC"
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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]
29 Jun 2021, 3:57 am
Ex-Wells Fargo Duo With $580M AUM Goes Independent With LPL: Arise Private Wealth operates in Rolling Hills Estates, Calif.The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [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]
9 Jun 2009, 2:13 pm
At the time the allegations covered by the settlement occurred, Evergreen was a unit of Wachovia Group, which was acquired by Wells Fargo last year. [read post]
16 Dec 2011, 7:01 am
The Financial Industry Regulatory Authority (FINRA) announced that is has fined Wells Fargo Investments, LLC (Wells Fargo) $2 million related to the sales of unsuitable reverse convertible notes to elderly customers. [read post]
29 Apr 2024, 1:40 pm
If you have suffered investment losses with Andrew Egber and Wells Fargo Advisors, the securities attorneys at the White Law Group may be able to help you. [read post]
11 Jun 2019, 9:29 am
According to BrokerCheck records financial advisor Leonard Kinsman (Kinsman), currently employed by Wells Fargo Advisors Network, LLC (Wells Fargo) has been subject to at least five customer complaints during the course of his career. [read post]
17 May 2018, 1:47 pm
He was employed at Wells Fargo Advisors Financial Network LLC from 2009 to 2017. [read post]
6 Apr 2011, 9:25 am
Wells Fargo purchased Wachovia in 2008. [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 Jul 2021, 9:36 am
Rigsbee was associated with Wells Fargo Clearing Services, LLC in Sacramento, CA, from October 2016 until April 2021. [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]
17 Sep 2021, 1:19 pm
The post Was Wells Fargo Complicit In A Ponzi Scheme? [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]
30 Sep 2022, 6:47 am
The post FINRA Bars Former Wells Fargo Broker James Seijas After Ponzi Scheme appeared first on Securities Arbitration Lawyers Blog. [read post]
15 Dec 2011, 11:52 am
Wells Fargo's Failure to Review Suitability of Reverse Convertible Transactions FINRA found that Wells Fargo, through one broker, had recommended hundreds of unsuitable reverse convertible transactions. [read post]
17 May 2019, 11:20 am
(CRD#: 2504369, aka “Will” or “Wilfredo”) is a former registered broker and investment advisor whose last employer was Wells Fargo Clearing Services, LLC (CRD#:19616) of Boca Raton, FL. [read post]
18 Aug 2017, 6:44 am
Wells Fargo Securities Censured & Fined for Supervisory Issues According to FINRA, on June 21, 2017, Wells Fargo Securities, LLC (CRD #126292, Charlotte, North Carolina) was issued an AWC in which the firm was censured, fined $3,250,000, and required to review its supervisory systems and processes. [read post]
22 Oct 2018, 3:00 pm
Silver Law Group has filed a FINRA arbitration claim against Wells Fargo Clearing Services, LLC (Wells Fargo) after its broker allegedly recommended unsuitable, high-risk investments to his elderly customers. [read post]
11 Jul 2017, 1:38 pm
Wells Fargo Clearing Services, LLC operates as a subsidiary of Wells Fargo Advisors, LLC. [read post]
