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10 Jun 2019, 2:05 pm
On June 3, the Federal Housing Finance Agency (FHFA), as conservator for the Federal Home Loan Mortgage Corporation (Freddie Mac), filed a lawsuit in the United States District Court for the Southern District of New York against Wells Fargo Securities, LLC (Wells Fargo) (as successor to Wachovia Capital Markets, LLC (Wachovia)), alleging a violation of Section 11 of the Securities Act. [read post]
10 Jun 2019, 11:00 am
(“Wells Fargo Claws Back Millions,” Fortune). [read post]
30 May 2019, 9:01 pm
Was Wells Fargo’s action legal? [read post]
29 May 2019, 6:23 am
Wells Fargo looks at China’s diesel fuel consumption and notes that is down by more than 30% in just the last couple of months and considers that an indication of its economy being way down as well. [read post]
27 May 2019, 5:24 am
The recent sales practice scandal at Wells Fargo, leading to the dismissal of more than 5300 employees, shows that the compliance challenge is an ongoing and permanent one—and it is not limited to the financial industry at all. [read post]
23 May 2019, 7:43 am
According to FINRA Disciplinary actions for May 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Bethan, Frank Quest Capital Strategies, Inc Wells Fargo Clearing Services, LLC Cody, Jill Concorde Investment Services, LLC Westminster Financial Securities, Inc Cody, Richard IFS Securities … [read post]
17 May 2019, 3:00 am
It will also implement new business and risk-management processes. https://www.reuters.com/article/us-wells-fargo-risk/wells-fargo-creates-new-unit-focused-on-regulatory-compliance-idUSKCN1SE2U5 How We Howeyby Hester M. [read post]
16 May 2019, 10:21 am
THE CASE OF THE SCAMMED ATTORNEY: WHO SHOULD BEAR THE RISK AND LOSS - BANK OR BANK CUSTOMER? [read post]
13 May 2019, 8:06 am
Shockingly, it was alleged that when Claimant complained to Wells Fargo the firm told Claimant that not only are the investments suitable for her but that she made money and has no claim against the firm. [read post]
10 May 2019, 11:37 am
Wells Fargo Bank, N.A. [read post]
10 May 2019, 5:34 am
Allen Parker, former Cravath presiding partner turned Wells Fargo GC turned Wells Fargo acting CEO, has done something very wise in his short time leading the troubled bank: He created a regulatory and compliance group. [read post]
25 Apr 2019, 11:59 am
Wells Fargo Clearing Services, LLC A. [read post]
24 Apr 2019, 3:00 am
Wells Fargo Annual Meeting: “That Went Well . . . [read post]
19 Apr 2019, 5:36 am
According to FINRA Disciplinary actions for March 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Ferree, Stuart LPL Financial LLC Invest Financial Corporation Anderson, Andy LPL Financial LLC Invest Financial Andrzejewski, Bryan… [read post]
12 Apr 2019, 8:25 am
Insurance Agency Peter Gomez NYLife Securities LLC New York Life Insurance Co Harris, Dionna Vanguard Marketing Corporation Henry, Omar Cetera Advisors LLC JP Morgan Securities LLC King, Erin Wells Fargo Clearing Services, LLC Wells Fargo Bank Lin, Linda Lossing, Christopher LPL Financial LLC Edward Jones McNeill, Randolph Buckman,… [read post]
12 Apr 2019, 8:22 am
According to FINRA Disciplinary actions for February 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Grossman, Robert David Lerner Associates, Inc National Planning Corporation Jacobowitz, Oded Securities America, Inc JP Morgan Securities LLC James, Garland Garden State Securities, Inc Global… [read post]
5 Apr 2019, 3:30 am
Recent scandals involving Volkswagen, Wells Fargo, Uber, Fox News, CBS, and others make clear that culture can contribute to malfeasance that damages both company and societal bottom lines. [read post]
21 Mar 2019, 9:01 pm
” “Wells Fargo raising its minimum hourly pay rate. [read post]
11 Mar 2019, 8:02 am
Discussion: Shivdasani is the Wells Fargo Distinguished Professor of Finance and the Director of the Wells Fargo Center for Corporate Finance at the Kenan-Flagler Business School at the University of North Carolina at Chapel Hill. [read post]
3 Mar 2019, 9:06 am
The Derivative Lawsuit Settlement The settlement agreement consists of several parts: (1) a monetary payment of $240 million to be paid by the Insurers to Wells Fargo; (2) acknowledgement by Wells Fargo that the derivative suit was a significant factor in the company’s adoption during the suit’s pendency of a number of corporate governance reforms; (3) acknowledgement by Wells Fargo that the derivative suits were a… [read post]
