Search for: "Wells Fargo Securities LLC"
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8 Oct 2014, 3:28 am
Following an internal inquiry by Wells Fargo, Wolf h... [read post]
13 Mar 2020, 2:23 pm
Abe’s LLC also held investment accounts with Wells Fargo. [read post]
12 Jul 2019, 3:42 am
A recent FINRA OHO Panel Decision displays human folly in all its dubious glory.BackgroundNancy Kimball Mellon entered the securities industry in 1983, and by August 2012, she was registered with FINRA member firm Wells Fargo Clearing Services, LLC, where she remained until her December 7, 2016, termination. [read post]
5 Oct 2011, 3:17 pm
Edwards & Sons, Inc. and its successor firms, Wachovia Securities, LLC and Wells Fargo Advisors, LLC. [read post]
24 Dec 2019, 11:00 am
The post Wells Fargo Broker Leonard Kinsman Accused Of Falsifying Records appeared first on Securities Arbitration Lawyers Blog. [read post]
20 May 2022, 6:44 am
The SEC’s order finds that Wells Fargo Advisors, which is the trade name used by Wells Fargo Clearing Services, LLC, a registered broker-dealer and investment adviser subsidiary of Wells Fargo & Company, violated Section 17(a) of the Securities Exchange Act and Rule 17a-8. [read post]
5 Mar 2009, 12:06 pm
The Boilermaker-Blacksmith National Pension Trust is suing a number of investment banks, credit rating agencies, and underwriters, including Wells Fargo, WFASC, Morgan Stanley & Co., Credit Suisse Securities (USA) LLC, Barclays Capital Inc., Bear Stearns & Co., Countrywide Securities Corp., Deutsche Bank Securities Inc., JPMorgan Chase Inc., Bank of America Corp., Citigroup Global Markets Inc., McGraw-Hill Cos., Moody's… [read post]
23 Dec 2016, 6:47 am
The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
15 Jul 2021, 5:25 am
The post Tyler Rigsbee, Wells Fargo Advisor, Barred from the Securities Industry appeared first on The White Law Group. [read post]
17 Mar 2009, 7:40 am
Wachovia Corp. was acquired by Wells Fargo late last year. [read post]
2 Oct 2014, 4:21 am
Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in September 2013 and thereafter amended, Claimant Fernandez asserted breaches of contract and fiduciary duty; fraud; churning; and manipulation against Respondents Wells Fargo Securities, LLC and Deutsche Bank Securities, Inc... [read post]
25 Nov 2013, 6:19 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned Wells Fargo Advisors, LLC (Wells Fargo) and imposed a $150,000 fine over allegations that the firm failed to establish, maintain and enforce a supervisory system that was reasonably designed to adequately review and monitor the transmittal of funds from the accounts of customers to third party accounts in violation of NASD Rules 3010, 3012(a)(2)(B)(i) and FINRA Rule 2010. [read post]
6 May 2011, 7:44 am
The Financial Industry Regulatory Authority (andquot;FINRAandquot;) fined Wells Fargo Advisors, LLC of St. [read post]
3 Jul 2007, 6:25 am
NASD levied a fine of $250,000 against Wells Fargo Securities LLC and $40,000 against its former research director, plus other sanctions, for failing to disclose that the lead analyst on reports issued on a company had accepted a position with that company. [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]
24 Jun 2015, 7:33 am
Melzer entered the securities industry in 2008 when he became registered with Wells Fargo. [read post]
9 Dec 2016, 8:11 am
From the Desk of Jim Eccleston at Eccleston Law LLC:FINRA has charged a former Wells Fargo adviser named Jack Donnarumma from White Plains, New York, with allegedly misrepresenting himself as a Wells Fargo personal banker and bank officer when in fact he was only an adviser. [read post]
2 Jul 2015, 3:03 pm
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 Vero Beach, Florida. [read post]
20 Oct 2015, 2:34 pm
Those reps should retain securities counsels to review their employment documentations and negotiate any new deal.The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
20 Jan 2012, 8:09 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 Boca Raton, Florida. [read post]
