Search for: "WELLS FARGO FINANCIAL"
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30 Mar 2023, 12:37 pm
Consumer Financial Protection Bureau charged Wells Fargo civil penalty as part of a $3.7 billion agreement to settle charges over widespread mismanagement of car loans, mortgages and bank accounts. [read post]
18 Apr 2012, 3:18 am
” Memorandum of Decision and Order at 1, Wells Fargo Advisors, LLC v. [read post]
16 Nov 2010, 12:37 pm
Chinlund On November 8 Chicago Partner Colleen Chinlund gave a presentation to Wells Fargo financial advisors on estate planning for their clients. [read post]
7 Dec 2010, 4:30 am
The California law firm of Harwood Feffer, LLP has announced that it has filed a class action lawsuit against Wells Fargo and its mortgage servicer America's Servicing Company (ASC) for inducing homeowners into defaulting on the mortgages by telling them they would not be eligible for a mortgage modification while they were current on their payments. [read post]
20 May 2022, 6:44 am
Wells Fargo Advisors, the St. [read post]
18 Apr 2011, 11:00 pm
The lawyer for Wells Fargo Bank (formerly known as Wells Fargo Financial Bank) was Enrico Gonzalez from the Temple Terrace, Florida debt collection law firm of Enrico Gonzalez, P.A. [read post]
8 Oct 2016, 5:00 am
Velazquez started off the week with a promotion to executive director of the Maryland State Bar Association while Wells Fargo’s week went from bad to worse with talk that the state might move away from its banking relationship with the troubled financial institution. [read post]
14 Nov 2016, 7:57 am
At the onset, a female Wells Fargo Advisors registered representative was given two promissory notes; unfortunately, when the end of her employment came, it didn't end well, and Wells Fargo went after its former employee for over $200,000 in promissory note balances. [read post]
8 Mar 2013, 7:26 am
Among other impediments, the class members allege that Wells Fargo erected hard-to-satisfy criteria for the “imminent default” prerequisite to loan modification, while expressly not considering obvious measures of borrowers’ financial hardship such as a recent bankruptcy filing. [read post]
18 Nov 2008, 2:04 am
As it's spun out by Wachovia, one could argue that Wachovia, near financial death, out-negotiated Wells Fargo on this deal. [read post]
18 Nov 2023, 5:46 am
According to the indictment, from July 2017 through March 2021, Welsh, operating as a financial advisor registered with Wells Fargo Clearing Services, purportedly abused his position to misappropriate funds entrusted to him by clients. [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]
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]
29 Sep 2016, 3:24 am
Here’s the related Form 8-K that Wells Fargo filed yesterday. [read post]
12 Jul 2019, 3:42 am
Also, Wells Fargo maintained the Financial Advisor Expense Manag... [read post]
15 Aug 2012, 9:21 am
The SEC alleged in charges it recently filed that Wells Fargo sold the securities — which were the focal point of the great financial collapse of 2008 — without fully understanding their complexity or disclosing the risks to investors. [read post]
23 Apr 2021, 10:53 am
The alleged violations took place between 2011 and 2015 while the brokers were working as personal bankers at Wells Fargo Bank before they shifted to become brokers at Wells Fargo Advisors, according to the article. [read post]
9 Jun 2023, 7:44 am
A Georgia Superior Court judge took a serious whack at Wells Fargo Advisors, as well as the Financial Industry Regulatory Authority Inc., in a January order that dismissed an arbitration claim that Wells Fargo had won 2½ years ago involving a client who sued the firm for mismanaging his account. [read post]
20 Jan 2021, 8:30 am
Schmidt was registered with Wells Fargo Advisors Financial Network from 2006 until October 2017 when he was reportedly fired for the scheme. [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]
