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9 Aug 2022, 7:20 am
The firm’s bank, Wells Fargo, is “protected by its deposit agreement, which says its duty to exercise ordinary care doesn’t require it to examine deposits processed by automated means”, ruled U.S. [read post]
8 Aug 2022, 2:29 pm
Similarly, the lawsuit recently filed against Wells Fargo following shortcomings in the execution of its diversity hiring policy also resulted in a securities lawsuit. [read post]
5 Aug 2022, 9:05 pm
The awards were presented at NFPW’s 2022 conference in Fargo, North Dakota, in June. [read post]
5 Aug 2022, 11:44 am
Even Wells Fargo employees will be hard-pressed to violate this rule. [read post]
1 Aug 2022, 4:04 am
Originally published as:"FINRA Report Refutes Court Finding Of Fundamental Unfairness In Leggett Arbitration" (BrokeAndBroker.com Blog / June 30, 2022)https://www.brokeandbroker.com/6519/finra-leggett-drs/The Report of the Independent Review of FINRA's Dispute Resolution Services -- Arbitrator Selection Process (June 28, 2022) https://www.finra.org/sites/default/files/2022-06/report-independent-review-drs-arbitrator-selection-process.pdf In part the Report concludes… [read post]
1 Aug 2022, 4:04 am
Wells Fargo (BrokeAndBroker.com Blog)"Boiler Room" Operator Pleads Guilty to International Securities Fraud Conspiracy / Defendant and Co-Conspirators Manipulated the Price and Trading Volume of a Publicly Traded Stock in the United States (DOJ Release)Two Orange County Men Sentenced to Federal Prison for Conning Investors Out of $1.9 Million Through Cryptocurrency Offering (DOJ Release)Man Sentenced to 21 Months in Prison for Stock Fraud Schemes (DOJ Release)Illinois man… [read post]
1 Aug 2022, 4:04 am
Wells Fargo (BrokeAndBroker.com Blog)Georgia Appeals Court Reverses Decision Alleging 'Secret Agreement' in FINRA Arbitration / The court overturned a decision involving a FINRA arbitration ruling in favor of Wells Fargo, several months after the regulator commissioned a study to examine the case (WealthManagement by Patrick Donachie)Staff Bulletin: Standards of Conduct for Broker-Dealers and Investment Advisers Conflicts of Interest (SEC Staff… [read post]
25 Jul 2022, 4:10 am
2017 FINRA Offer of SettlementIn response to the filing of a Complaint on July 15, 2016, by the Financial Industry Regulatory Authority's ("FINRA's") Department of Enforcement, Respondent Robert Edward Loftus submitted an Offer of Settlement dated March 10, 2017, which the regulator accepted. [read post]
25 Jul 2022, 4:10 am
Former Wells Fargo Advisors Senior Vice President Moves Federal Court to Undo 2017 FINRA Settlement (BrokeAndBroker.com Blog)Justice Department and Consumer Financial Protection Bureau Secure Agreement with Trident Mortgage Company to Resolve Lending Discrimination Claims / Settlement Provides Over $20 Million to Increase Credit Opportunities in Neighborhoods of Color / First Redlining Settlement Against Mortgage Company; Second Largest Redlining Settlement in Justice Department… [read post]
25 Jul 2022, 4:10 am
Former Wells Fargo Advisors Senior Vice President Moves Federal Court to Undo 2017 FINRA Settlement (BrokeAndBroker.com Blog)If you lost money in crypto, here's how you can get some back / Investors want to flee crypto funds, like those at Anthony Scaramucci's SkyBridge. [read post]
18 Jul 2022, 3:42 pm
Respondent Wells Fargo Bank, N.A. [read post]
14 Jul 2022, 8:28 am
His previous employers were Wells Fargo Advisors, LLC (CRD#:19616), also of Wilmington, and Charles Schwab & Co., Inc. [read post]
11 Jul 2022, 9:05 pm
While some companies have received praise for their corporate cultures, others such as Wells Fargo, Valeant Pharmaceuticals, Toshiba, and Hertz have been severely criticized for maintaining cultures that have led to some of the most egregious misconduct in recent years, despite each of these companies having formal ethics and compliance guidelines (Zach 2015). [read post]
11 Jul 2022, 11:29 am
According to his broker record, Torriente was reportedly affiliated with the following FINRA registered firms, among others, during his career in the securities industry: 10/30/2009 – 10/20/2020, COMERICA SECURITIES (CRD#:17079), PHOENIX, AZ, 06/28/2006 – 11/05/2009, WELLS FARGO INVESTMENTS, LLC (CRD#:10582), MESA, AZ Potential Lawsuits to Recover Financial Losses The White Law Group is investigating… [read post]
5 Jul 2022, 9:04 am
James Shelburne Wells Fargo Clearing Services, LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Jamie Worden Worden Capital Management LLC Salomon Whitney LLC Brokers and brokerage firms are obligated to satisfy all FINRA arbitration judgements, without any unreasonable or unwarranted delay. [read post]
5 Jul 2022, 8:39 am
Wells Fargo Advisors, LLC Albert Tejada Northwestern Mutual Investment Services, LLC FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers. [read post]
30 Jun 2022, 9:40 am
Well, this is the truth. [read post]
30 Jun 2022, 8:09 am
Readers will recall the Georgia Superior Court decision vacating an arbitration award in favor of respondent Wells Fargo Clearing Services, LLC. which found that the arbitrator selection process was manipulated in that case.Quite honestly, the facts set forth in the decision didn't make much sense. [read post]
30 Jun 2022, 3:28 am
Prior to joining WMS, Wickwire was a managing director and head of equity research at Wells Fargo Securities. [read post]
29 Jun 2022, 7:03 am
Charlie Scharf offers bread and circuses to keep the Wells Fargo masses from calling for his head. [read post]
