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3 May 2012, 5:33 am
Several of the nation’s leading banks – including Citigroup, Morgan Stanley, UBS and Wells Fargo – were recently sanctioned by the Financial Industry Regulatory Authority (FINRA) for more than $9.1 million over their failure to supervise retail sales of leveraged and inverse exchange-traded funds (ETFs). [read post]
2 May 2012, 2:54 pm
/GMAC, and Wells Fargo & Company (the "Banks"). [read post]
2 May 2012, 6:29 am
., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
2 May 2012, 6:14 am
("UBS") and Wells Fargo Advisors, LLC ("Wells Fargo") a total of $9.1 million for selling more than $27 billion of complex, non-traditional exchange traded funds ("ETFs") to investors for whom the exotic ETFs were unsuitable. [read post]
2 May 2012, 4:21 am
... [read post]
1 May 2012, 2:22 pm
., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision... [read post]
1 May 2012, 8:36 am
Citigroup, Morgan Stanley, UBS and Wells Fargo agreed to pay fines of more than $9 million to settle cases tied to exchange-traded funds. [read post]
1 May 2012, 8:21 am
Well, here we go. [read post]
1 May 2012, 7:15 am
Then they’re told that, to pay for it, they need to go into debt -- usually into five figures, sometimes well into six. [read post]
1 May 2012, 6:06 am
Wells you’ve certainly come to the right fargo. [read post]
1 May 2012, 4:11 am
... [read post]
30 Apr 2012, 7:54 pm
This expanded balance sheet enables the large banks to hold equally big portfolios of mortgage servicing rights and also gives the top four banks — JPMorganChase, Bank America, Wells Fargo and Citigroup — a competitive advantage in dealing with the various federal housing agencies in the creation of mortgage-backed securities. [read post]
30 Apr 2012, 7:53 pm
And so, Debtor is Defendant . . . but where does Wells Fargo fit in? [read post]
29 Apr 2012, 7:38 pm
Bank, Regions Financial and Wells Fargo among them — are aggressively courting low-income customers like Mr. [read post]
29 Apr 2012, 3:17 pm
Settlement applies to the five named servicers, Ally (formerly GMAC), Bank of America, Citibank, JPMorgan Chase, and Wells Fargo. $5B to fed and state governments includes money for the cash payments to borrowers wrongly foreclosed. [read post]
28 Apr 2012, 3:00 am
The suit (PDF) claims Wells Fargo employees knew or should have known the check was fraudulent. [read post]
27 Apr 2012, 9:30 am
Wells Fargo subsequently provides little or none of this information. [read post]
27 Apr 2012, 9:30 am
Wells Fargo subsequently provides little or none of this information. [read post]
27 Apr 2012, 7:53 am
The deal for Merlin Securities makes Wells Fargo the last of the nation's biggest banks to enter the lucrative prime brokerage field, which caters to hedge funds and other alternative asset management firms. [read post]
