Search for: "WELLS FARGO FINANCIAL"
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29 Nov 2021, 2:14 am
As a result, Wells Fargo was looking for in-store branch bankers. [read post]
19 Nov 2021, 10:47 am
Powell urging a revocation of the bank’s operating license and forcing a break-up splitting the banking operations from Wells Fargo’s other financial and investment services. [read post]
15 Nov 2021, 9:05 am
Seijas’ BrokerCheck Report, Wells Fargo had not even disclosed Seijas’ outside business activity at Q3I to FINRA, which the plaintiffs in the civil action claim would have uncovered the scheme had Wells Fargo investigated or “done any minimal compliance review. [read post]
Former Wells Fargo Advisor James Seijas Accepts Ban from FINRA Amid Allegations of Ponzi Investments
8 Nov 2021, 2:14 pm
Investors who are defrauded by financial advisors have rights and can pursue arbitration against firms like Wells Fargo in an attempt to recover investment losses. [read post]
8 Nov 2021, 1:27 pm
Paul Vizanko Wells Fargo Clearing Services, LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers. [read post]
8 Nov 2021, 1:17 pm
Thomas Hagan Morgan Stanley Wells Fargo Advisors, LLC Andre Labarbera Titus Rockefeller, LLC IFS Securities Michael Leahy First Standard Financial Company LLC Alexander Capital, LP David Levy Titus Rockefeller, LLC IFS Securities Leslie Markus Jr. [read post]
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]
3 Nov 2021, 8:07 am
Wells Fargo Clearing Services is also reportedly named in the complaint. [read post]
2 Nov 2021, 1:57 pm
On 6/17/2021, Wells Fargo discharged Welsh after the allegations of misappropriation surfaced. [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]
29 Oct 2021, 9:01 am
District Court for the District of Columbia, lead class lawyers at Hagens Berman Sobol Shapiro, Quinn Emanuel Urquhart & Sullivan and Mehri & Skalet said Bank of America NA agreed to pay $26.4 million, Wells Fargo & Co will pay $20.8 million, and JPMorgan Chase & Co will pay $19.5 million. [read post]
29 Oct 2021, 9:01 am
District Court for the District of Columbia, lead class lawyers at Hagens Berman Sobol Shapiro, Quinn Emanuel Urquhart & Sullivan and Mehri & Skalet said Bank of America NA agreed to pay $26.4 million, Wells Fargo & Co will pay $20.8 million, and JPMorgan Chase & Co will pay $19.5 million. [read post]
29 Oct 2021, 8:07 am
Civil and Criminal Fraud Charges Filed against New Jersey Financial Advisor Kenneth Welsh According to the Securities and Exchange Commission on October 28, the regulator charged former Wells Fargo Advisors broker Kenneth A. [read post]
27 Oct 2021, 8:16 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Daniel Pimental (Pimental), most recently employed by Wells Fargo Advisors Financial Network, LLC (Wells Fargo) has been subject to at least three customer complaints during the course of his career. [read post]
19 Oct 2021, 9:50 am
Wells Fargo v. [read post]
19 Oct 2021, 9:41 am
Grant Birkley (Grant Christopher Birkley CRD#: 2933533) is also formerly registered with SagePoint, Wells Fargo, and Merrill Lynch at the same time as Komarek. [read post]
15 Oct 2021, 12:33 pm
Wells Fargo discharged Vizanko on 1/26/2021 after he borrowed money from a client. [read post]
9 Oct 2021, 9:48 am
– Electrical and Computer Science Technologies Patent Attorney or Agent Duane Morris Nelson Mullins Hanley, Flight & Zimmerman, LLC – Foreign Filing Paralegal Metalenz Hanley, Flight & Zimmerman, LLC – Patent Associate Attorney Nyemaster Goode, PC Buchanan Ingersoll & Rooney PC Cabinet Beau de Loménie Norton Rose Fulbright Daly, Crowley, Mofford & Durkee, LLP Bainwood Huang Chernoff Vilhauer LLP Kennedy Lenart Spraggins LLP Kubota & Basol LLP… [read post]
5 Oct 2021, 9:30 am
Wells Fargo was fined $100 million by the CFPB because its “cross-selling” practices led to millions of accounts being opened for customers under false pretenses and without consent. [read post]
30 Sep 2021, 10:05 am
The claimants were longtime Wells Fargo Bank clients and they were referred to a financial advisor at the broker-dealer. [read post]
