Search for: "Wells Fargo & Company"
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20 Jan 2021, 8:30 am
According to the FINRA award posted on this week, Wells Fargo Advisors Financial Network filed a claim in August 2019, saying Schmidt misappropriated customer funds while he was with the company. [read post]
19 Jan 2021, 8:16 am
Hanaur & Company, Smith Barney Inc., Citigroup Global Markets Inc., Wells Fargo Clearing Services LLC and is currently working for Raymond James & Associates, Inc. [read post]
15 Jan 2021, 1:48 pm
Wells Fargo – As part of a gargantuan $3 billion joint settlement with the federal government, Wells Fargo paid the SEC $500 million to resolve allegations that it misled investors, opened fake accounts for unknowing customers, and sold customers unnecessary products that went unused. [read post]
14 Jan 2021, 12:09 pm
These 2020 recoveries are the latest in a long line of enforcement actions against Wells Fargo. [read post]
14 Jan 2021, 9:14 am
Wells Fargo to Pay $40m to Resolve Overbilling SuitLaw360 – January 12, 2021 (subscription required) Wells Fargo Merchant Services LLC has agreed to pay up to $40 million in a settlement to end claims by small businesses that it overcharged them and hit them with early termination fees, according to a motion filed Tuesday. [read post]
5 Jan 2021, 11:30 am
A third Notice covers a case in which two former Wells Fargo executives are to pay the SEC $2.5 million for allegedly misleading investors about a key performance metric. [read post]
5 Jan 2021, 10:33 am
This is a city in which some of the most recognizable companies make their national and regional headquarters: Target, General Mills, Wells Fargo, U.S. [read post]
29 Dec 2020, 7:56 pm
Iorio Altamirano LLP is investigating claims on behalf of Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC customers (together “Wells Fargo” or the “Firm”) who received recommendations to switch from variable annuities to investment company products. [read post]
16 Dec 2020, 3:00 am
TAKINGS Wells Fargo Bank, N.A. v. [read post]
14 Dec 2020, 2:10 pm
-summons-12-14-20Download 1-3 [D.E. 1-3] wells-fargo-bank-summons-12-14-20Download [read post]
3 Dec 2020, 8:33 am
The Debtor, Creditors Committee and Wells Fargo agreed that the best way to pay creditors was to sell the Debtor’s assets as a going concern. [read post]
2 Dec 2020, 12:46 pm
Wells Fargo moved to dismiss on the basis of the statutes of limitation for each of the claims. [read post]
30 Nov 2020, 3:00 am
” Well, please do. [read post]
20 Nov 2020, 3:03 am
’ Key Performance Metrics: SEC Enforcement Goes After Execs for Misleading Disclosure Late last week, the SEC announced that it charged two former Wells Fargo executives for their roles in the allegedly misleading “cross-sell metric” that the bank had used to measure its financial success and that got it in so much hot water back in the mid-2000s. [read post]
11 Nov 2020, 3:24 pm
Walmart, Bank of America, FedEx, and Wells Fargo have something in common. [read post]
11 Nov 2020, 11:48 am
In 2011, Wells Fargo Advisors, the wealth management unit of Wells Fargo & Co. agreed to pay $32 million to settle a gender bias class-action suit with about 3,000 women advisors. [read post]
9 Nov 2020, 2:43 am
The defendants included affiliates of Bank of America Corp, Barclays Plc, Citigroup Inc, Goldman Sachs Group Inc, JPMorgan Chase & Co, Morgan Stanley, Royal Bank of Canada and Wells Fargo & Co. [read post]
4 Nov 2020, 8:47 pm
Banking A class action securities lawsuit representing Wells Fargo shareholders was filed in June against the bank and some of its executives. [read post]
3 Nov 2020, 1:43 pm
The agency also recovered $500 million from Wells Fargo in connection with the companies combined $3 billion settlement with the SEC and the U.S. [read post]
31 Oct 2020, 1:26 pm
Most recently, earlier this year Wells Fargo customer alleged that Agent Reed solicited him to invest in “an investment opportunity in a company not offered by Wells Fargo Advisors”, Reed broker-dealer at the time. [read post]
