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14 Feb 2020, 6:31 am
As the latest chapter in the aftermath of the Wells Fargo fake accounts scandal, on January 23, 2020, the Office of the Comptroller of the Currency (“OCC”) announced enforcement actions against eight former Wells Fargo executives for their roles in the bank’s “systemic sales practices misconduct. [read post]
12 Feb 2020, 11:48 am
Charles Scharf used to work for Jamie Dimon, so he has a keen eye for the differences between their two firms. [read post]
3 Feb 2020, 11:06 am
The controller then confirmed with the fake lawyer, by phone, that the managing director had approved the transaction, and after she relayed that information to Wells Fargo, the hold was lifted and the money was transferred to the fraudster’s bank account in China. [read post]
20 Jan 2020, 1:45 pm
Citigroup, Bank of America, Wells Fargo, and JPMorgan already agreed to loan Boeing money. [read post]
17 Jan 2020, 12:06 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5023/securities-industry-commentator/OCC Issues Notice of Charges Against Five Former Senior Wells Fargo Bank Executives, Announces Settlement With Others (OCC Release)Did a Federal Court Mistakenly Deem FINRA a Federal Prosecutor? [read post]
10 Jan 2020, 2:44 pm
Wells Fargo asked the controller for verification that the wire transfer was legitimate. [read post]
10 Jan 2020, 2:44 pm
Wells Fargo asked the controller for verification that the wire transfer was legitimate. [read post]
7 Jan 2020, 9:16 pm
Wells Fargo Bank, N.A. [read post]
7 Jan 2020, 2:17 pm
Turner & Company, LLC Capital Asset Funds Tax Exempt Portfolio American General Financial Corporation Wells Fargo Bank N.A CD. [read post]
6 Jan 2020, 4:00 pm
Of course, they will fine the same executives at a small bank, but executives at the large banks seem to get away unscathed.Take for example Wells Fargo's phony account scandal. [read post]
5 Jan 2020, 2:52 pm
As the insurers come to grip with the now well-established trends discussed above, they are struggling to find the right approach. [read post]
5 Jan 2020, 2:52 pm
As the insurers come to grip with the now well-established trends discussed above, they are struggling to find the right approach. [read post]
24 Dec 2019, 11:00 am
Previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), also of Staten Island, NY, Wells Fargo Advisors, LLC (CRD#:19616) of Red Bank, NJ and Citigroup Global Markets Inc. [read post]
24 Dec 2019, 7:19 am
Morgan Securities LLC World Financial Group Williams, Minjoe Wells Fargo Clearing Services, LLC National Securities Corporation Wright, Tiana 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]
18 Dec 2019, 9:57 pm
At the end of last April, 29-year-old Arlando Henderson accepted a job offer to work inside the cash vault at a Charlotte, North Carolina, branch of Wells Fargo bank. [read post]
12 Dec 2019, 6:56 am
The Court rejected Ironshore’s argument that the emails from the purported outside attorney or the bank holding the money were a “sufficient and independent intervening cause” because the emails from the purported outside attorney and Wells Fargo were foreseeable consequences of the first email. [read post]
11 Dec 2019, 3:31 pm
Because the fraudulent transfer depended on conversations with Leach and with Wells Fargo, no immediate link existed. [read post]
2 Dec 2019, 11:02 am
Back in 2015 Credit Suisse decided to shut down its private banking operations, and announced a a transition agreement that lets Credit Suisse brokers move to Wells Fargo. [read post]
26 Nov 2019, 7:02 am
According to FINRA Disciplinary actions for October 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Acca, Lisa Arive Capital Markets Global Arena Capital Partners Bailey, Michael PFS Investments Primerica Financial Services Bartley, Jevon… [read post]
22 Nov 2019, 5:51 am
Brownstein, Wachtell, Lipton, Rosen & Katz, on Wednesday, November 20, 2019 Tags: Boards of Directors, Compliance and disclosure interpretation, Disclosure, ESG, Institutional Investors, Proxy advisors, Risk, Risk management, Risk oversight, Shareholder voting, Sustainability, Wells Fargo Letter by SEC Commissioner Robert J. [read post]
