Search for: "Wells Fargo Funding"
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30 Mar 2020, 2:22 pm
According to the allegations, Wells Fargo failed to supervise investment adviser representatives who recommended inverse exchange-traded funds to their customers, leading to investor losses. [read post]
29 Mar 2020, 8:27 am
All of these securities suit settlements are on top of the separate March 2020 Wells Fargo derivative suit settlement, which had a cash value of $240 million (discussed here). [read post]
21 Mar 2020, 11:55 am
It's hard to think of anything more politically tone-deaf other than perhaps delegating the bailout to Wells Fargo. [read post]
18 Mar 2020, 5:39 pm
There are some well-know names on this list: Goldman Sachs MLP and Energy Renaissance Fund – GER: Year to Date has dropped from 4.37 to 0.68 per share Continue Reading [read post]
16 Mar 2020, 8:45 am
NON-TRADITIONAL EXCHANGE TRADED FUNDS (ETFs)What are Non-Traditional Exchange Traded Funds (ETFs)? [read post]
4 Mar 2020, 6:16 am
Wells Fargo Sold Non-Traditional ETFs to Retail Investors If you were an investor who suffered losses in non-traditional exchange-traded funds (ETFs) that you feel were unsuitable for you yet were recommended by a Wells Fargo investment advisor or broker, our ETF fraud attorneys at Shepherd Smith Edwards and Kantas (SSEK Law Firm) would like to offer you a free case consultation. [read post]
28 Feb 2020, 10:38 am
March 11, 2019 – Wells Fargo entities were among the investment advisors settling charges that they placed clients in higher-cost mutual fund share classes in order to receive a share of the higher 12-b1 fees charged on those investments. [read post]
26 Feb 2020, 11:00 am
As part of the statement of facts, Wells Fargo admitted the following:Beginning in 1998, Wells Fargo increased its focus on sales volume and reliance on annual sales growth. [read post]
22 Feb 2020, 6:11 am
UNITED STATES BANKRUPTCY COURT FOR THE SOUTHERN DISTRICT OF OHIO WESTERN DIVISION AT DAYTON In re: GYPC, INC., Debtor Case No. 17‐31030 Adv. [read post]
21 Feb 2020, 1:31 pm
All at once. [read post]
13 Feb 2020, 7:45 am
Ex-Morgan Stanley Broker Sentenced To 30 Months Please contact Shepherd Smith Edwards and Kantas (SSEK Law Firm) if Elias Herbert Hafen, a former Morgan Stanley (MS) and Wells Fargo (WFC) broker, was your financial representative when you suffered substantial investment losses that you think may be due to fraud. [read post]
6 Feb 2020, 11:33 am
As was also the case with the Wells Fargo settlement, the McKesson settlement reportedly was settled entirely with D&O insurance proceeds. [read post]
24 Jan 2020, 3:00 am
Bloomberg’s Billions Stay Veiled While Funding 2020 Campaign Politico – Maggie Severns | Published: 1/22/2020 Michael Bloomberg has bought his way into the 2020 presidential race with hundreds of millions of dollars from his personal fortune. [read post]
22 Jan 2020, 6:00 am
Wells Fargo estimates that vapor products now make up close to 5 percent of the total tobacco market. [read post]
17 Jan 2020, 12:06 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5023/securities-industry-commentator/OCC Issues Notice of Charges Against Five Former Senior Wells Fargo Bank Executives, Announces Settlement With Others (OCC Release)Did a Federal Court Mistakenly Deem FINRA a Federal Prosecutor? [read post]
10 Jan 2020, 2:44 pm
Wells Fargo asked the controller for verification that the wire transfer was legitimate. [read post]
10 Jan 2020, 2:44 pm
Wells Fargo asked the controller for verification that the wire transfer was legitimate. [read post]
7 Jan 2020, 2:17 pm
Turner & Company, LLC Capital Asset Funds Tax Exempt Portfolio American General Financial Corporation Wells Fargo Bank N.A CD. [read post]
5 Jan 2020, 2:52 pm
Beaver Country Employees Retirement Fund, in which the Court affirmed that state courts retain concurrent jurisdiction for liability actions under the Securities Act of 1933. [read post]
5 Jan 2020, 2:52 pm
Beaver Country Employees Retirement Fund, in which the Court affirmed that state courts retain concurrent jurisdiction for liability actions under the Securities Act of 1933. [read post]
