Search for: "Wells Fargo & Company"
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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]
23 Apr 2021, 3:54 am
Wells Fargo Clearing Services, LLC,... [read post]
21 Apr 2021, 6:33 am
His previous employers are Wells Fargo Clearing Services, LLC (CRD#:19616) of St. [read post]
15 Apr 2021, 7:32 am
Wells Fargo & Co., 20-866. [read post]
11 Apr 2021, 9:05 am
According to records kept by FINRA Ianace was employed by Wells Fargo Clearing Services, LLC (Wells Fargo) and Merrill Lynch Pierce, Fenner & Smith Incorporated (Merrill Lynch) through June 2020 when he abruptly resigned when he refused to cooperate in FINRA’s investigation over these allegations. [read post]
9 Apr 2021, 4:00 am
Corporate America Isn’t Welcoming Former Trump Cabinet Officials with Open Arms, Headhunters Say MSN – Tory Newmyer (Washington Post) | Published: 4/7/2021 Before she joined the Trump administration as transportation secretary, Elaine Chao earned millions of dollars over the past decade by serving on the boards of big public companies such as Dole Foods and Wells Fargo. [read post]
6 Apr 2021, 9:08 pm
For example, after Wells Fargo stopped processing cryptocurrency exchange Bitfinex’s transactions, Bitfinex turned to a Panamanian company that later allegedly lost $850 million worth of Bitfinex funds. [read post]
Activist Shareholder Proposals and HCM Disclosures Pivot to Diversity, Equity, and Inclusion in 2021
24 Mar 2021, 12:47 pm
Bancorp, and Well Fargo – committed to adopting or disclosing diverse candidate hiring policies that mirror the “Rooney Rule. [read post]
8 Mar 2021, 12:37 pm
Jorge Guzman Pruco Securities, LLC Nelson Polun Wells Fargo Clearing Services, LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Richard Ramos Wells Fargo Clearing Services LLC Curtis Smiley Primex Sandlapper Securities, LLC David Stateman Allstate Financial Services, LLC AXA Advisors, LLC Dwight Sulc B.B. [read post]
8 Mar 2021, 12:30 am
The Weinstein Whistleblowers, referring to the dozens of women who worked with journalists to report on abuses by Harvey Weinstein Wells Fargo whistleblowers Yesenia Guitron and Jodi Klosek Mary Willingham, who went public about UNC’s failures in educating athletes. [read post]
6 Mar 2021, 12:22 pm
Reed solicited at least six individuals, including at least two Wells Fargo customers, to invest in securities issued by Pebblekick, a software and web development company based in Pasadena, California. [read post]
20 Feb 2021, 7:20 am
I found the following in my inbox this morning: Facebook, Twitter, United Airlines and other large companies pledge to boost numbers of diverse leaders ("Nowhere in corporate America have I seen these metrics or an initiative with these types of... [read post]
19 Feb 2021, 1:06 pm
Scott Reed’s broker report indicates that he was registered with Wells Fargo Clearing Services in Scottsdale, AZ from 2016 until April 2020 when he was reportedly discharged after he “recommended and facilitated investment opportunities in investments sold away from and not offered by Wells Fargo Advisors. [read post]
19 Feb 2021, 11:23 am
Stories like the blood-testing fraud at Theranos or the Wells Fargo account fraud scandal shook their industries. [read post]
19 Feb 2021, 7:40 am
Justin Harris Morgan Stanley Wells Fargo Advisors, LLC Eric Roark Ameriprise Financial Services, LLC Oppenheimer & Co. [read post]
12 Feb 2021, 12:20 pm
Wells Fargo Investments, LLC (2005) 129 Cal.App.4th 719, 732, disapproved of on other grounds in Kibler v. [read post]
11 Feb 2021, 8:10 am
Among the institutions on the pilot list are major banks like Capital One Financial Corp., Citigroup Inc., Goldman Sachs Group Inc., JPMorgan Chase & Co., and Wells Fargo Co. [read post]
10 Feb 2021, 2:00 am
Just ask companies like Amazon, Wells Fargo, and Target, which are all being hit with multimillion-dollar lawsuits for incorrectly screening job applicants.1 Companies that thoughtlessly outsource their preemployment screening to under-qualified background screening agencies can end up endangering their employees, their finances, and their reputations. [read post]
5 Feb 2021, 9:42 am
Through the arrangement, the two swapped tax benefits, generating enormous US foreign tax credits for Wells Fargo. [read post]
28 Jan 2021, 9:34 am
Among the institutions on the pilot list are major banks like Capital One Financial Corp., Citigroup Inc., Goldman Sachs Group Inc., JPMorgan Chase & Co., and Wells Fargo Co. [read post]
