Search for: "Wells Fargo Financial"
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21 Jun 2016, 7:44 am
FINRA recently suspended Dennis Mark Adam Merritt (“Merritt”), a former Wells Fargo adviser and current employee of J.W. [read post]
21 Jun 2016, 7:44 am
FINRA recently suspended Dennis Mark Adam Merritt (“Merritt”), a former Wells Fargo adviser and current employee of J.W. [read post]
23 Oct 2018, 11:13 am
According to recent information released by the securities industry watchdog, FINRA (Financial Industry Regulatory Authority), over his long 35 year career with major brokerage houses including Stifel and most recently Wells Fargo, former Certified Financial Planner John Gregory Schmidt formed close personal relationships with elderly and infirm clients in order to win their trust and steal their money.Several Clients Had Alzheimer’s or Died During the… [read post]
8 Feb 2022, 2:21 pm
Edwards based her ruling in part on grounds that the Financial Industry Regulatory Authority administrators had allowed Wells Fargo and an outside lawyer to “manipulate” the arbitrator selection process. [read post]
12 Jul 2012, 12:08 pm
" While the penalty against Well Fargo is hefty, it's only a little more than half of the amount paid by Bank of America Corp. in December 2011, when it shelled out $335 million to resolve fair lending charges against its Countrywide Financial unit. [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]
28 Apr 2009, 11:04 am
Brown said that case didn't involve the securities at issue in the lawsuit he filed Thursday.Brown's lawsuit names Wells Fargo Investments, Wells Fargo Brokerage Services and Wells Fargo Institutional Services as defendants. [read post]
3 Apr 2020, 11:31 am
The regulator reportedly charged Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network with failure to supervise and train investment advisors and registered representatives recommending single-inverse ETF investments to retail investors. [read post]
17 May 2019, 11:20 am
The post FINRA Bars Wilfred Rodriquez, Jr., Wells Fargo Boca Raton Office appeared first on Securities Arbitration Lawyers Blog. [read post]
7 Sep 2012, 12:20 pm
Oh, Wells Fargo. [read post]
11 Mar 2019, 2:17 pm
Schmidt, who also ran Schmitt Investment Strategies Group in Ohio and was already barred by the Financial Industry Regulatory Authority (Finra), was fired by Wells Fargo in 2017. [read post]
1 Aug 2018, 1:58 pm
Wells Fargo Bank, N.A. and several of its affiliates (Wells Fargo) will pay a civil penalty of $2.09 billion under the Financial Institutions Reform, Recovery, and Enforcement Act of 1989 (FIRREA) based on the bank’s alleged origination and sale of residential mortgage loans that it knew contained misstated income information and did not meet the […] The post Wells Fargo Agrees to Pay Penalty for Allegedly Misrepresenting… [read post]
18 Jan 2018, 8:43 am
Securities Investigation – Jeffrey Krupnik and Wells Fargo According to the Financial Industry Regulatory Authority, a FINRA hearing panel has barred former advisor Jeffrey Krupnick for stealing $143,000. [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]
5 Apr 2010, 5:26 pm
Wells Fargo & Co., 2010 WL 1233810 (N.D. [read post]
3 Nov 2015, 12:43 pm
Domestic Private Banking business an opportunity to transition to Wells Fargo’s brokerage business, Wells Fargo Advisors, LLC (“Wells Fargo Advisors”), by early 2016. [read post]
16 Oct 2017, 10:54 am
FINRA Sanctions Wells Fargo for Risky ETPs According to reports on Monday, the Financial Industry Regulatory Authority (FINRA) ordered Wells Fargo & Co. to return $3.4 million to customers after selling them inappropriate investment products. [read post]
24 May 2021, 7:26 am
The entire time, he was a Wells Fargo broker until 2018. [read post]
11 Jul 2017, 1:38 pm
Wells Fargo Clearing Services Censured & Fined According to the Financial Industry Regulatory Authority, Wells Fargo Clearing Services, LLC (CRD #19616, St. [read post]
