Search for: "WELLS FARGO FINANCIAL"
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4 Nov 2021, 1:29 pm
Former New Jersey Financial Advisor Allegedly Targeted Florida Doctors James Alan Seijas, an ex-Wells Fargo Clearing Services broker, was barred by the Financial Industry Regulatory Authority (FINRA) beginning November 2, 2021. [read post]
19 Jul 2011, 9:11 pm
Wells Fargo & Co. [read post]
17 Oct 2008, 5:12 pm
The effect of the issuance of those "super shares" to Wells Fargo will be to essentially to lock up the deal for Wells Fargo. [read post]
27 Sep 2011, 8:23 am
The risks are increasing for investors in principal protected notes, reverse convertibles and other structured products associated with Bank of America, Citigroup and Wells Fargo. [read post]
14 Apr 2019, 7:54 am
Wells Fargo Bank, N.A. [read post]
1 Nov 2021, 1:28 pm
Senior Citizens Were Among Former Fairfield, NJ Financial Advisor’s Alleged Victims Kenneth Andrews Welsh, an ex-Wells Fargo Clearing Services broker, is now facing Securities and Exchange Commission (SEC) charges accusing him of misappropriating at least $2.86 million from brokerage firm customers and advisory clients. [read post]
24 Dec 2019, 11:00 am
Leonard Charles Kinsman (CRD: #2816535) is a former registered broker and investment advisor whose last employer was Wells Fargo Advisors Financial Network, LLC (CRD#:11025) of Staten Island, NY, until 7/4/2019. [read post]
26 Mar 2012, 12:11 pm
Wells Fargo & Co., 12-80087, U.S. [read post]
7 Jun 2009, 5:15 pm
In a recent federal lawsuit filed by the City of Baltimore, there are new allegations that the financial institution Wells Fargo, "systematically singled out blacks in Baltimore and suburban Maryland for high-interest subprime mortgages. [read post]
6 Mar 2021, 12:22 pm
Beginning in early 2019 and continuing until his termination from Wells Fargo in April 2020, Mr. [read post]
5 Jun 2015, 10:09 am
In this case it is alleged that Wells Fargo received $12 million in fees to hold the trust. [read post]
2 Jul 2015, 3:03 pm
Have you suffered investment losses in Wells Fargo Advantage WI Tax-Free Inv? [read post]
7 Mar 2016, 2:46 am
Frank Kirk Dyer and Wells Fargo Advisors, LLC, Respondents (FINRA Arbitration 13-02939, March 3, 2016); and Wells F... [read post]
10 May 2019, 11:37 am
Wells Fargo Bank, N.A. [read post]
14 Nov 2017, 6:12 am
Wells Fargo agreed to the settlement, without admitting or denying the findings. [read post]
17 Oct 2012, 10:59 am
Wells Fargo denies any wrongdoing, and has promised to vigorously combat the allegations in court. [read post]
25 Nov 2016, 10:00 am
Wells Fargo & Co. is facing increasing scrutiny from lawmakers over the potentially wrongful dismissals of financial advisers and other employees who pushed back on questionable practices during the bank's multiyear cross-selling scandal.The latest salvo comes from Sen. [read post]
24 Feb 2012, 2:37 am
Arbitration Statement of Claim filed in August 2011, Claimant Wells Fargo Advisors sought to recover $25,000 in training fees from Respondent Higley as a result of his alleged breach of his New Financial Advisor Training as a result of his alleged breach of his ... [read post]
24 Jun 2015, 7:33 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned and barred broker Douglas Melzer (Melzer) concerning allegations that between November 2011, and May 2012, while registered with Wells Fargo Advisors, LLC (Wells Fargo), Melzer solicited four customers to invest $2,000,000 in an outside investment without providing his firm notice. [read post]
4 Jun 2013, 7:48 am
FINRA ordered Wells Fargo Advisors, LLC, as successor for Wells Fargo Investments, LLC, to pay a fine of $1.25 million and to reimburse approximately $2 million in losses to 239 customers. [read post]
