Search for: "Wells Fargo & Company"
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31 Mar 2020, 6:02 am
Virgil Richmond II Wells Fargo Clearing Services, LLC J.P. [read post]
29 Mar 2020, 10:26 am
Wells Fargo is reportedly a no-go. [read post]
29 Mar 2020, 8:27 am
All of these securities suit settlements are on top of the separate March 2020 Wells Fargo derivative suit settlement, which had a cash value of $240 million (discussed here). [read post]
27 Mar 2020, 7:03 am
Wells Fargo Bank, N.A., 2020 WL 1244859 (D. [read post]
22 Mar 2020, 3:15 am
WELLS FARGO BANK, NA, Dist. [read post]
22 Mar 2020, 3:15 am
WELLS FARGO BANK, NA, Dist. [read post]
18 Mar 2020, 5:39 pm
Stoltmann Law Offices has brought arbitration claims against dozens of brokerage firms like Ameriprise Financial, Merrill Lynch, Morgan Stanley, Wells Fargo, and JP Morgan Securities involving the unsuitable recommendations for investors to invest in oil and gas related securities. [read post]
16 Mar 2020, 8:45 am
Also, in 2012, FINRA sanctioned Citigroup global markets, LLC, Morgan Stanley and Co LLC; UBS Financial services; and Wells Fargo advisors LLC over more than $9.1million dollars for selling leveraged and inversed ETFs without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
13 Mar 2020, 2:23 pm
Our statement of claim alleges that Wells Fargo and its broker (Respondents) breached the fiduciary duty they owed to Abe and his investment company (Claimants). [read post]
12 Mar 2020, 11:48 am
The Bureau ultimately fined Wells Fargo more than $1 billion for the crimes, which were brought to light by whistleblowers. [read post]
11 Mar 2020, 8:47 am
New DEP CALL 6/1/21 Wells Fargo & Co new DEP SH REP SER X Wells Fargo & Co New DEP SHS SER V JPMorgan Chase BK NA Ohio CTF DTD 3/25/13 Citibank N A PRIN Protected MKT LKD CTF DTD 10/22/10 JPMorgan Chase BK NA Columbus Ohio CTF DTD 7/21/14 Morgan Stanley FIN LLC Global GTO Medium, Term NT DTD 9/30/16 EBAY Inc NT 4.00% Callable DTE 1/15/13 The FINRA claim seeks damages between $100,000 and $500,000. [read post]
10 Mar 2020, 7:07 pm
The Majority’s staff report also uncovered notes from a May 2019 Federal Reserve meeting with Wells Fargo reflecting that a senior Wells Fargo executive stated “if he were CEO, he would not allow the addition of any new customers to the company since the firm is operating in this environment. [read post]
6 Mar 2020, 7:19 am
In a Congressional report released on Wednesday, the Majority Staff of the House Committee on Financial Services detailed findings from its yearlong investigation into Wells Fargo’s adherence to financial regulations, finding that the company has failed to comply. [read post]
2 Mar 2020, 11:23 am
Panelists agreed that consumers should be permitted to access and control their data with informed, meaningful consent and that financial institutions should provide transparency concerning use of consumer data (Wells Fargo’s Control Tower was cited as an example). [read post]
28 Feb 2020, 10:38 am
The company also agreed to exit the personal insurance business in California. [read post]
27 Feb 2020, 9:21 am
On Feb. 12, Wells Fargo said it was ending mandatory arbitration for sexual harassment claims following feedback from stakeholders, including Clear Yield Asset Management, which had submitted a proposal…” [read post]
26 Feb 2020, 11:00 am
As part of the statement of facts, Wells Fargo admitted the following:Beginning in 1998, Wells Fargo increased its focus on sales volume and reliance on annual sales growth. [read post]
23 Feb 2020, 2:42 pm
Charlie Scharf, the Wells Fargo CEO, criticized the company’s practices and admitted the company’s culpability in the scandal: The conduct at the core of today’s settlements — and the past culture that gave rise to it — are reprehensible and wholly inconsistent with the values on which Wells Fargo was built. [read post]
22 Feb 2020, 6:11 am
(“GYPC”), as seller; the Third‐Party Defendants, as principals; Mindstream, as the buyer; and Eastport Holdings, LLC (“Eastport”) as the parent company of Mindstream. [read post]
21 Feb 2020, 1:29 am
Wells Fargo & Company and its subsidiary, Wells Fargo Bank, N.A., agreed to pay $3 billion to resolve their potential criminal and civil liability stemming from a practice between 2002 and 2016 of pressuring employees to meet unrealistic sales goals that led thousands of employees to provide millions of accounts or products to customers under false pretenses or without consent, often by creating false records or misusing customers’ identities. [read post]
