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26 Nov 2019, 7:02 am
According to FINRA Disciplinary actions for October 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 Acca, Lisa Arive Capital Markets Global Arena Capital Partners Bailey, Michael PFS Investments Primerica Financial Services Bartley, Jevon… [read post]
18 Dec 2018, 11:12 am
First Southwest Michael Giokas Fortune Financial Services, Inc Comprehensive Asset Management and Servicing Travis Marks Wells Fargo Advisors, LLC JP Morgan Securities LLC Richard Minichino Next Financial Group, Inc Wunderlich Securities, Inc Thomas Park Merrill Lynch, Pierce, Fenner & Smith Inc Wells Fargo Clearing Services, LLC Brian Roth The… [read post]
13 Apr 2010, 12:04 pm
Case in point: it is now probable that banking giants Chase, Bank of America, and Wells Fargo may have to set aside an additional $30 billion — yes that’s $30 BILLION — dollars to cover write downs on home equity loans. [read post]
12 Dec 2010, 11:24 pm
, Credit Agricole Corporate and Investment Bank and Wells Fargo Bank, N.A. [read post]
2 Aug 2010, 4:33 pm
Hancock formerly with Wells Fargo Investments and Wells Fargo Bank in San Francisco, California, was barred from association with any FINRA member in any capacity for misappropriating $11,320 in funds from an elderly bank customer's account. [read post]
9 Jul 2018, 12:37 pm
Lincoln Investment Matthew Jacob Paparazzo Wells Fargo Clearing Services, LLC J.P. [read post]
25 Jun 2015, 6:18 am
Thereafter, from March 2009, to May 2011, Tricarico became registered with Wells Fargo Advisors Financial Network, LLC (Wells Fargo). [read post]
19 May 2011, 6:55 am
The report said two of the five banks refused to cooperate with the audits, and at least one, Wells Fargo, employs top executives who broke the law. [read post]
26 Oct 2018, 7:27 am
Morgan Securities LLC Bustamante Family Legacy LLC Daniel Flores Woodbury Financial Services, Inc Princor Financial Services Corporation Jose Giraldo Merrill Lynch, Pierce, Fenner & Smith Inc David Lerner Associates, Inc Joshua Krize Wells Fargo Clearing Services, LLC Country Capital Management Company Francine Lanaia Windsor Street Capital, LP Meyers Associates LP Scott Miozzi… [read post]
11 Feb 2014, 11:38 am
Deiac was also ordered to make restitution in the amount of $674,856.94 to Wells Fargo Bank. [read post]
2 Oct 2018, 5:40 am
Robin Lomont Jeffrey Offen Craft Capital Management LLC Salomon Whitney Financial Shawn Palmer LPL Financial LLC Woodbury Financial Services, Inc Somning Pheth Wells Fargo Clearing Services, LLC Wells Fargo Bank NA Phillip Schreiner Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
1 Jul 2019, 12:43 pm
Kohn & Company Rumayor, Juan Farmers Financial Solutions, LLC HSBS Securities (USA) Inc Salcedo, Alex Scottrade, Inc Wells Fargo Clearing Services, LLC Webb, James Jr. [read post]
18 Jun 2012, 2:15 pm
The claims were made following a Wells Fargo survey which found that at least ¼ of all respondents did not believe they'd be able to retired until they were 80 years old. [read post]
15 Sep 2012, 1:09 pm
Accordingly, both the complaint and the proposed amended complaint failed to state a cause of action for legal malpractice based on the defendant's failure to rescind the subject loan and mortgage pursuant to Wells Fargo's alleged violation of the TILA. [read post]
21 Nov 2019, 2:59 am
As noted last year, Wells Fargo Bank sold its Shareowner Services to Equiniti Trust Co. [read post]
29 Sep 2020, 12:18 pm
Wells Fargo economist Michael Swanson says:“The biggest threat to farming is Tesla. [read post]
2 Oct 2009, 8:23 am
Moran, a Managing Director - Investments, and Earl Sistrunk, CFA, Financial Consultant, with Wachovia Securities (now Wells Fargo Advisors). [read post]
5 Apr 2023, 10:37 am
Two days ago, Wells Fargo moved to dismiss a class action lawsuit brought on behalf of current Wells Fargo shareholders. [read post]
7 Jun 2009, 3:14 pm
In one recent case I handled, Wells Fargo dropped a claim that my client had fraudulently borrowed $10,000 on a credit card less than a month after I had filed an answer to the adversary complaint on behalf of my client. [read post]
14 Oct 2008, 3:04 am
Wells Fargo will get $5 billion for its acquisition of Wachovia, and Bank of America the same for amount for its purchase of Merrill Lynch.A side note: State Street's CEO wasn't at the meeting where the capital was allocated. [read post]
