Search for: "Wells Fargo Financial"
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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]
9 Dec 2016, 8:11 am
From the Desk of Jim Eccleston at Eccleston Law LLC:FINRA has charged a former Wells Fargo adviser named Jack Donnarumma from White Plains, New York, with allegedly misrepresenting himself as a Wells Fargo personal banker and bank officer when in fact he was only an adviser. [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]
19 Dec 2008, 9:19 pm
Wells Fargo Bank N.A., Cal. [read post]
16 Dec 2011, 9:32 am
The Financial Industry Regulatory Authority (FINRA) has fined Wells Fargo Investments $2 million and ordered it to pay restitution to customers for unsuitable sales of reverse convertible securities, and other misconduct. [read post]
8 Mar 2018, 6:57 am
The post Wells Fargo Sues LJM Partners over Missed Payments appeared first on White Securities Law. [read post]
30 Apr 2015, 6:32 am
The Financial Industry Regulatory Authority (FINRA) in an acceptance, waiver, and consent action (AWC) Wells Fargo Advisors, LLC (Wells Fargo) broker Joseph DiRago Jr. [read post]
29 Apr 2013, 6:33 am
In the Matter of the FINRA Arbitration Between Wells Fargo Advisors, LLC, Claimant, vs. [read post]
9 Aug 2021, 9:48 am
Morgan Securities broker Gloria Willis, former Merrill Lynch stockbroker Evelyn Batista, and ex-Wells Fargo financial advisor Kenric Sexton have either been barred or suspended from the securities industry. [read post]
26 Jun 2014, 5:00 am
Wells Fargo does not provide privileges to executives for items like financial planning, automobiles, or club memberships except for security or business reasons. [read post]
7 Mar 2016, 7:26 am
“We allege that the RIEDC and Wells Fargo knew that 38 Studios needed an additional $25 million to fund the project yet failed to pass that material information along to bond investors, who were denied a complete financial picture. [read post]
12 Oct 2017, 6:35 am
A recent survey by Wells Fargo found the Millennial generation’s top 3 financial intimidators include saving for the future, knowing how to invest money and sticking to a budget. [read post]
7 Dec 2017, 11:54 am
But Senator Elizabeth Warren was skeptical, pointing out Sloan’s decades-long career with Wells Fargo as evidence that he might not be the best person to lead the bank through this change. [read post]
5 Nov 2020, 9:18 am
First Clearing LLC (Wells Fargo Clearing Services) accepted the sanctions on November 4, 2020. [read post]
26 Feb 2020, 11:00 am
Wells Fargo also entered a civil settlement agreement under the Financial Institutions Reform, Recovery and Enforcement Act of 1989 (FIRREA) based on Wells Fargo’s creation of false bank records. [read post]
14 Aug 2012, 3:36 pm
Read the SEC Order (PDF) SEC Charges Wells Fargo for Selling Complex Investments Without Disclosing Risks, SEC, August 14, 2012 More Blog Posts: Wells Fargo & Co. [read post]
6 May 2022, 9:18 am
Ex-Wells Fargo Broker Jeremy Fortner Allegedly Borrowed Money From Clients Our broker misconduct lawyers investigate claims of losses involving former customers of ex-Wells Fargo Advisors registered representative Jeremy Fortner. [read post]
6 Aug 2018, 6:48 am
Investors, including federally insured financial institutions, suffered billions of dollars in losses from investing in residential mortgage-backed securities (RMBS) containing loans originated by Wells Fargo. [read post]
