Search for: "Wells Fargo Financial"
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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]
6 Dec 2011, 3:27 am
The equity securities holders’ and bondholders’ actions arise from financial disintegration Wachovia experienced between its 2006 purchase of Golden West Financial Corporation and its 2008 merger with Wells Fargo & Company. [read post]
15 Jul 2021, 5:25 am
Filing a Complaint against your Brokerage Firm The White Law Group is investigating FINRA arbitration cases involving financial advisor Tyler Rigsbee and the liability Wells Fargo may have for failure to properly supervise him. [read post]
24 Oct 2018, 6:19 pm
Former Wells Fargo Broker Barred for Unauthorized Trading In August, FINRA barred a former Wells Fargo broker who had also previously worked at Merrill Lynch. [read post]
18 Jun 2014, 7:08 am
Recently, a Financial Industry Regulatory Authority (FINRA) arbitration panel rendered a decision concerning Wells Fargo Advisors, LLC’s (Wells Fargo) claims against its former broker Steven Grundstedt (Grundstedt) for breach of three promissory notes. [read post]
16 Mar 2017, 8:01 am
In doing so, Wells Fargo violated unfair and deceptive financial practices law. [read post]
18 Mar 2019, 7:20 am
On February 19, 2019, the United States District Court for the Southern District of Ohio granted a consent judgment against John Gregory Schmidt, a former Wells Fargo Advisors Financial Network (FINET) advisor. [read post]
2 Dec 2011, 10:44 am
Massachusetts Attorney General Martha Coakley filed a lawsuit on December 1, 2011 against JPMorgan Chase & Co., Bank of America Corp., Citigroup Inc., Wells Fargo & Co., and Ally Financial Inc., in state court in Boston. [read post]
15 Mar 2022, 12:18 pm
The post Mario Rivero Jr., Ex-Wells Fargo Broker, Reportedly Charged with Stealing Half a Million Dollars from Clients appeared first on The White Law Group. [read post]
6 Oct 2008, 4:05 pm
The fight between Citigroup and Wells Fargo for the remains of Wachovia moved into North Carolina's courts this weekend. [read post]
1 Jul 2015, 8:24 am
Louis County jury recently awarded over $70 million to the beneficiary of two trusts against Wells Fargo (WF).WF and its predecessors had served as the corporate trustee of one trust, and the custodian of the other. [read post]
23 Dec 2016, 6:47 am
Therefore, the award came out with a net result where Wells Fargo was liable to pay Powers $180,532.07. [read post]
12 Jun 2009, 6:17 am
According to the Times, loan officer Beth Jacobson testified that Wells Fargo systematically targeted black customers for subprime loans. [read post]
20 Jan 2012, 8:09 am
Additionally, as a Wells Fargo proprietary fund, Wells Fargo financial advisors likely received a higher commission for selling this investment relative to other non-proprietary funds. [read post]
10 Mar 2016, 7:00 am
We represent investors, financial professionals and investment firms, nationwide. [read post]
11 Nov 2008, 9:06 am
At least eighteen states that tax corporate profits will likely take a hitfrom the new IRS ruling—and any state that taxes the profits of financial companies is at riskof helping to fund the next bank that chooses to purchase another financial company.With state budgets already going up in flames, this is a problem state lawmakers don't need. [read post]
5 Jan 2015, 9:59 pm
" CET filed infringement suits against Wells Fargo Bank, PNC Financial Services Group, Inc. [read post]
2 May 2012, 6:14 am
("UBS") and Wells Fargo Advisors, LLC ("Wells Fargo") a total of $9.1 million for selling more than $27 billion of complex, non-traditional exchange traded funds ("ETFs") to investors for whom the exotic ETFs were unsuitable. [read post]
16 Mar 2022, 11:23 am
Prosecutors contend that from April 2018 to November 2020, when Rivero was working as a Wells Fargo financial advisor, he misappropriated at least $529K from four customers. [read post]
