Search for: "Wells Fargo Securities, LLC"
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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]
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]
29 Oct 2021, 9:15 am
Welsh was registered with Wells Fargo Clearing Services, LLC in Fairfield, NJ. [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]
7 Apr 2011, 10:56 pm
Wells Fargo Securities now manages Wachovia. [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]
18 Apr 2008, 9:01 pm
Wells Fargo Private Bank and Private Client Services provide teams of experienced local professionals who advise clients on complex financial issues, and provide them with investment management, private banking, trust and estate, insurance and brokerage services provided through Wells Fargo Investments, LLC. [read post]
10 Jun 2019, 2:05 pm
On June 3, the Federal Housing Finance Agency (FHFA), as conservator for the Federal Home Loan Mortgage Corporation (Freddie Mac), filed a lawsuit in the United States District Court for the Southern District of New York against Wells Fargo Securities, LLC (Wells Fargo) (as successor to Wachovia Capital Markets, LLC (Wachovia)), alleging a violation of Section 11 of the Securities Act. [read post]
5 May 2011, 12:43 pm
FINRA fined Wells Fargo Advisors, LLC of St. [read post]
25 May 2012, 2:53 pm
Peter Yan Hong; Wallace Lawrence Key; Wells Fargo Adivsors, LLC, Respondents v. [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]
17 Jan 2017, 6:21 am
The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
6 Jul 2018, 11:46 am
According to the Financial Industry Regulation Authority (FINRA) BrokerCheck records, in October 2017, Meyers was terminated from Wells Fargo Clearing Services LLC (Wells Fargo) for recommending investments to customers that he did not notify the firm about. [read post]
5 Nov 2020, 9:18 am
First Clearing LLC (Wells Fargo Clearing Services) accepted the sanctions on November 4, 2020. [read post]
3 Apr 2017, 2:27 pm
Wells Fargo Securities LLC in the United States District Court for the Southern District of New York. [read post]
26 Jun 2018, 11:45 am
Wells Fargo Advisors LLC reportedly agreed to settle charges of misconduct. [read post]
29 Oct 2015, 2:10 pm
Wells Fargo spokesman stated in an email that Wells Fargo plans to dispute the suit.Wells Fargo advisors in other states should seek counsels to evaluate their claims.The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
1 May 2014, 6:45 am
In today's BrokeAndBroker.com Blog installment of the old employee forgivable loan ("EFL") saga, we consider the repayment obligation of a former Citigroup rep who received three EFLs, the first in the form of a bonus in 2008 for moving his book over to Wachovia Securities, LLC, which ultimately morphed into Wells Fargo Advisors, LLC. [read post]
14 Feb 2022, 10:37 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
14 Dec 2021, 9:00 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
