Search for: "Wells Fargo Financial"
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24 Oct 2016, 4:43 am
The more I re-read a recent FINRA Arbitration Decision involving Wells Fargo, the angrier I become. [read post]
18 Apr 2012, 9:09 am
Federal Judge Elizabeth Magner found Wells Fargo's conduct to be "willful and egregious. [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]
6 Jun 2023, 10:24 am
A Wells Fargo advisor is being sued by a former client who claims to have been defrauded out of a multimillion-dollar investment in a musical adaptation of the 1990 movie “Ghost. [read post]
26 Feb 2009, 6:37 pm
Earlier this month, the chief executives of the eight biggest banks in the United States, including Citigroup, Bank of America, Wells Fargo, and Goldman Sachs addressed the House Financial Services Committee in an attempt to persuade US lawmakers that billions of dollars in bailout funds were used as intendedâ€â [read post]
15 Oct 2008, 3:57 pm
During the discussion, the most animated response came from Wells Fargo Chairman Richard Kovacevich, say people present. [read post]
7 May 2018, 3:27 am
Under the terms of the proposed settlement, Wells Fargo agreed to pay $480 million dollars. [read post]
5 Dec 2008, 7:58 pm
If Wachovia's Board had not taken the Wells Fargo deal, it faced "the obliteration of most, if not all, of the shareholder equity. [read post]
24 Dec 2010, 8:49 pm
Judge unloads on Wells Fargo with order on investment program, Poten.com, December 24, 2010 Wells Fargo ordered to pay $30 million for fraud, Star Tribune, June 2, 2010 Wells Fargo to Pay $30M in Compensatory Damages to Four Nonprofits for Securities Fraud, Stockbroker Fraud Blog, June 3, 2010 [read post]
15 Apr 2014, 7:19 am
From the Desk of Jim Eccleston at Eccleston Law Offices: FINRA enforcement has sanctioned a Wells Fargo Advisor with a 90-day suspension for taking more information than is allowed when he left a credit union affiliated with Raymond James Financial Services to join Wells Fargo Advisors (then Wachovia Securities) in late November 2008. [read post]
14 Sep 2010, 4:34 pm
The spokesperson also said that Wells Fargo had made a mistake by making that assurance. [read post]
7 Apr 2011, 10:56 pm
Wells Fargo Securities now manages Wachovia. [read post]
13 Apr 2022, 12:55 pm
Not all was lost for Wells Fargo, however. [read post]
25 May 2011, 10:36 pm
According to the New Jersey Bureau of Securities, Wells Fargo Investments Inc. [read post]
5 Jun 2023, 6:08 pm
A legal dispute pitting Wells Fargo Advisors against one of its former in-house lawyers has raised a question about when brokerages and their employees should be compelled to arbitrate at the Financial Industry Regulatory Authority. [read post]
14 Jul 2009, 5:45 pm
Wells Fargo. [read post]
2 Dec 2016, 10:24 am
But the CFPB made clear in its warning to companies that its concerns over sales practices go beyond situations similar to Wells Fargo’s fake account scandal. [read post]
2 Dec 2016, 10:24 am
But the CFPB made clear in its warning to companies that its concerns over sales practices go beyond situations similar to Wells Fargo’s fake account scandal. [read post]
18 Jun 2020, 6:11 am
Wells Fargo Bank will pay up to $19.6 milliion and change its lending policies to no longer discriminate... [read post]
4 Dec 2008, 5:37 pm
Prudential Financial plans to sell its minority stake in Wachovia’s brokerage unit to Wells Fargo in a deal that could yield the nation’s second-largest life insurance company a $1.7 billion after-tax gain. [read post]
