Search for: "Wells Fargo Funding"
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28 Feb 2022, 3:42 am
No Good Deed Goes Unpunished As FINRA Sanctions Rep For Lending Money to Friend (BrokeAndBroker.com Blog)Wells Fargo Slammed With $1 Million Defamation/Fraud Award in FINRA ArbitrationIn the Matter of the Arbitration Between Aaron Olson, Claimant, v. [read post]
10 May 2019, 5:08 am
Opioid Addiction on Wall Street: A Wells Fargo Employee Is Barred (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4593/FINRA-Opioid-Drugs/Today's featured FINRA regulatory case is about a Wells Fargo employee who was charged with converting funds from his employer and failing to fully cooperate in FINRA's ensuing investigation. [read post]
24 Sep 2021, 2:46 pm
Attorney Announces $72.6 Million Settlement Of Fraud Lawsuit Against Wells Fargo Bank For Overcharging Foreign Exchange Customers Over Seven Years / Wells Fargo Admits to Overcharging and Providing False Information to Customers, Pays Restitution and Civil Penalties, and Makes Asset Forfeiture Payment (DOJ Release)SEC Charges Transfer Agent and CEO for Violations of Statutory and Regulatory Filing and Records Requirements (SEC Release)SEC Charges Issuer for… [read post]
1 Aug 2022, 4:04 am
Wells Fargo (BrokeAndBroker.com Blog)Georgia Appeals Court Reverses Decision Alleging 'Secret Agreement' in FINRA Arbitration / The court overturned a decision involving a FINRA arbitration ruling in favor of Wells Fargo, several months after the regulator commissioned a study to examine the case (WealthManagement by Patrick Donachie)Staff Bulletin: Standards of Conduct for Broker-Dealers and Investment Advisers Conflicts of Interest (SEC Staff… [read post]
15 Sep 2020, 1:11 pm
Previous employers include Wells Fargo Clearing Services, LLC (CRD#:19616) of Hauppage, NY, RBC Capital Markets, LLC (CRD#:31194) if Jericho, NY, and Morgan Stanley DW INC. [read post]
11 Mar 2024, 7:14 am
Jay Pocius Allegedly Misappropriated Client Funds According to a letter of acceptance, the Financial Industry Regulatory Authority (FINRA) has barred former Wells Fargo broker Jay Pocius (Jayson Robert Pocius) (CRD#: 6018543) from associating with any FINRA member at any time. [read post]
6 Jan 2014, 7:42 am
Many of Busch’s customers had both Wells Fargo brokerage accounts and Wells Fargo bank accounts. [read post]
16 Nov 2010, 8:44 am
New York City’s pension funds have filed a new shareholder proposal at Bank of America, Citigroup, JPMorgan Chase, and Wells Fargo & Co. that ask each bank’s audit committee to conduct an independent review of mortgage servicing practices. [read post]
9 Oct 2008, 7:20 pm
According to an announcement announced this afternoon, Citigroup has dropped out of the settlement talks with Wachovia and Wells Fargo, and will not challenge the Wachovia, Wells Fargo merger. [read post]
12 Nov 2015, 6:28 am
As part of the deal with Wells Fargo, if a broker does not go to Wells Fargo, Credit Suisse will consider her to have voluntarily resigned, and therefore forfeit her deferred compensation. [read post]
29 Jan 2008, 6:00 am
In Wells Fargo Bank v. [read post]
12 Dec 2013, 7:41 am
According to plea documents, Wells Fargo Bank contracted with U.S. [read post]
17 Sep 2011, 11:08 am
Wells Fargo oversees the loans as trustee for the Bear Stearns Mortgage Funding Trust 2007-AR2. [read post]
19 Jun 2013, 5:51 pm
Example: If you have money deposited with Chase Bank and you owe Wells Fargo on a credit card or loan, then Wells Fargo would not have the right to set-off your bank accounts at Chase to pay the debts owed to Wells Fargo. [read post]
12 Sep 2014, 3:57 pm
If plaintiffs succeed, Wells Fargo will be held liable for the distributions of the funds, not the Trusts, and it would be inequitable for Sue to keep those funds at Wells Fargo’s expense. . . . [read post]
8 Oct 2019, 12:15 pm
Michael Filipidis, former Wells Fargo employee, reportedly scams elderly customer out of $800,000. [read post]
12 Jun 2013, 7:01 am
According to plea documents, Wells Fargo Bank contracted with U.S. [read post]
2 Nov 2012, 7:08 am
Dawn Wiley was associated with Wells Fargo Advisors, LLC and its predecessor Wachovia Securities LLC from 2000 until her termination on January 3, 2012. [read post]
15 Dec 2014, 6:35 am
Wells Fargo Bank, N.A., 2014 WL 6911100, No. 11–2957 (D. [read post]
22 Jun 2011, 11:59 am
In fact, American Electric Power, Dupont, Verizon, Boeing, Wells Fargo, FedEx and Honeywell all had tax rates between -0.7 percent and -9.2 percent for the stretch between 2008 to 2010. [read post]
