Search for: "Wells Fargo Securities LLC"
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23 Apr 2021, 10:53 am
For more information, see Securities Employment Claims and Financial Advisor Employment Attorneys – FINRA Lawyers 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. [read post]
16 Mar 2017, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law LLC: FINRA has filed charges against former Wells Fargo Securities analyst Matthew Nemer, alleging that Mr. [read post]
25 Jan 2017, 6:28 am
From the Desk of Jim Eccleston at Eccleston Law LLC:FINRA is in the process of interviewing former Wells Fargo registered securities brokers who were fired because of their involvement in the company’s most recent scandal. [read post]
7 Oct 2010, 12:28 am
Wells Fargo Securities, LLC and Wells Fargo Bank, N.A. asked the Southern District of Florida bankruptcy court today to dismiss the chapter 11 bankruptcy case of QOC I LLC less than a week after the case was filed. [read post]
20 Jan 2021, 8:30 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. [read post]
29 May 2023, 1:26 pm
Background Nancy 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]
11 Oct 2018, 5:03 pm
Former Wells Fargo Broker Faces Elder Investor Fraud Charges The US Securities and Exchange Commission has filed broker fraud-related charges against former John Greg Schmidt, a former broker for Stifel, Nicholaus and Company (SF) and Wells Fargo Financial Network LLC (WFC). [read post]
8 Jan 2016, 10:16 am
The prohibition serves as an important victory for the broker, confirming the validity of his claims.The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
24 Oct 2018, 6:19 pm
The post Former Wells Fargo, Stifel Nicolaus & Co. and Benjamin & Jerold Brokers Among Latest to Be Barred by FINRA appeared first on Zamansky LLC. [read post]
21 Apr 2022, 7:18 am
(CRD#:39550) of Wilmington, MA, and Pruco Securities, LLC. [read post]
2 Oct 2018, 7:35 am
The note was secured by a mortgage in favor of Centennial. [read post]
4 Jun 2013, 7:48 am
FINRA ordered Wells Fargo Advisors, LLC, as successor for Wells Fargo Investments, LLC, to pay a fine of $1.25 million and to reimburse approximately $2 million in losses to 239 customers. [read post]
3 Dec 2021, 12:59 pm
California Court of Appeal Retains State Court Jurisdiction of BTIG Employment Retaliation Lawsuit (BrokeAndBroker.com Blog)Federal Court Sanctions Slovakian Trader and His Principals for Spoofing and Engaging in a Manipulative and Deceptive Scheme (CFTC Release)SEC Obtains Default Judgment Against Recidivist Securities Fraudster (SEC Release)Mexican Businessman Arrested for $30M Fraud Scheme (DOJ Release)Cheshire Investment Advisor Sentenced to 30 Months for Stealing More Than $600K from… [read post]
6 Mar 2023, 3:30 am
Wells Fargo Securities, LLC, Respondent (FINRA Arbitration Award) ... [read post]
7 Mar 2016, 7:26 am
Wells Fargo also is charged with violations of Section 15B(c)(1) of the Securities Exchange Act of 1934 and Rules G-17 and G-32 of the Municipal Securities Rulemaking Board (MSRB). [read post]
15 Jan 2016, 6:08 am
The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
24 Jan 2016, 8:33 am
The securities lawyers of Gana LLP are investigating a number of customer complaints involving Wells Fargo Advisors, LLC (Wells Fargo) brokers, including financial advisor Charles Lynch (Lynch), concerning allegations that the investors have been recommended or their advisory accounts have been mismanaged to hold high concentrations of energy related investments. [read post]
27 Oct 2015, 1:48 pm
Some reps may choose to go elsewhere.Whenever reps choose to go, they should retain securities counsels to review their employment documentations and negotiate the new deal.The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
2 May 2012, 6:14 am
("UBS") and Wells Fargo Advisors, LLC ("Wells Fargo") a total of $9.1 million for selling more than $27 billion of complex, non-traditional exchange traded funds ("ETFs") to investors for whom the exotic ETFs were unsuitable. [read post]
29 May 2019, 8:50 am
Herbert Hafen (CRD#: 867068, aka Elias Herbert Hafen, E Herbert Niggebrugge, Elias Niggebrugge) is a former registered broker and investment advisor whose last employer was Wells Fargo Clearing Services, LLC (CRD#:19616) of New York, NY. [read post]
