Search for: "Wells Fargo Dealer Services Inc." Results 21 - 40 of 66
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6 Dec 2021, 1:00 pm by Silver Law Group
  Jamila Fields   Wells Fargo Clearing Services, LLC   PNC Investments   Micah Judy   W&S Brokerage Services, Inc. [read post]
3 Dec 2021, 1:29 pm by Silver Law Group
Her previous employers include Wells Fargo Clearing Services, LLC, CRD 19616, of Tampa, FL, Cetera Investment Services, (CRD#:15340) of Newport Richey, Florida, and Wells Fargo Advisors, LLC (CRD#: 19616) of Ellenton, Florida. [read post]
7 Jul 2021, 1:40 pm by Silver Law Group
  Idean Esfahani   Wells Fargo Clearing Services, LLC   Justyn Euan   Wells Fargo Clearing Services, LLC   Ngonidzashe Parirenyatwa   Wells Fargo Clearing Services, LLC   Planco Financial Services, LLC   Laquita Antionette Pettis   Wells Fargo Clearing Services, LLC   Rodney Repko   Lincoln Financial Advisors Corporation  … [read post]
28 May 2021, 1:17 pm by Silver Law Group
  Nayely Gamez   Wells Fargo Clearing Services, LLC   Jorge Guzman   Pruco Securities, LLC   Yonay Perez   Wells Fargo Clearing Services, LLC   Richard Ramos   Wells Fargo Clearing Services, LLC   Dwight Sulc   B.B. [read post]
28 May 2021, 6:56 am by Silver Law Group
  Yonay Perez   Wells Fargo Clearing Services, LLC   Jorge Pica   Suntrust Robinson Humphrey, Inc. [read post]
8 Mar 2021, 12:19 pm by Silver Law Group
Morgan Securities LLC   Jon Foster   Wells Fargo Clearing Services, LLC   Caleb Hutzler   LPL Financial LLC   Northwestern Mutual Investment Services, LLC   Narongdej Jaroensabphayanont   Voya Financial Advisors, Inc. [read post]
1 Feb 2021, 2:02 pm by Silver Law Group
Kevin Schaefer (Kevin Joseph Schaefer CRD:# 1286030) is a registered broker and investment advisor currently employed with Wells Fargo Clearing Services, LLC (CRD#: 19616) of San Francisco, CA. [read post]
19 Jan 2021, 8:16 am by Staff Attorney
Hanaur & Company, Smith Barney Inc., Citigroup Global Markets Inc., Wells Fargo Clearing Services LLC and is currently working for Raymond James & Associates, Inc. [read post]
15 Jan 2021, 1:48 pm by luiza
Wells Fargo – As part of a gargantuan $3 billion joint settlement with the federal government, Wells Fargo paid the SEC $500 million to resolve allegations that it misled investors, opened fake accounts for unknowing customers, and sold customers unnecessary products that went unused. [read post]
4 Dec 2020, 1:55 pm by Silver Law Group
  May Kim   Pruco Securities, LLC   Jonathan Malone   Wells Fargo Clearing Services, LLC   Wells Fargo Advisors LLC   Evan Nadelman   Aegis Capital Corp   Ninety Holdings Group LLC   Gyasi Richard   Wells Fargo Clearing Services, LLC   Philip Scherello   Traderfield Securities Inc   Velocity Capital, LLC FINRA makes this information available, in part, to… [read post]
23 Oct 2020, 8:55 am by Silver Law Group
  Wells Fargo Clearing Services, LLC   Frank Grant IV   Andrew Slocum   Charles Schwab & Co., Inc. [read post]
3 Sep 2020, 7:51 am by Silver Law Group
  Alan Lau   Wells Fargo Clearing Services, LLC   Wells Fargo Investments, LLC   Stanley Martin   Allstate Financial Services, LLC   H&R Block Financial Advisors, Inc. [read post]
27 Jul 2020, 7:08 pm by Silver Law Group
  Jody Pullium   Allstate Financial Services, LLC   PNC Investments   Ana Rivera   Wells Fargo Clearing Services, LLC   Wells Fargo Advisors, LLC   George Schmidt, Jr. [read post]
26 Jul 2019, 1:24 pm by ccollins
Five of the firms that self-reported collectively paid over $30M in restitution:  Raymond James Financial Services (RJF) Wells Fargo Advisors (WFC) Raymond James & Associates Wells Fargo Advisors Financial Network LPL Financial (LPLA) Several months later, Edward Jones, AXA Advisors, Janney Montgomery Scott, Stifel Nicolaus & Company (SF), and Stephens Inc. collectively agreed to pay $18M in restitution to charitable and retirement… [read post]
4 Feb 2019, 7:52 am by Daily Record Staff
Contracts — Consumer loan — Fraud In the Circuit Court for Anne Arundel County, Edmund Awah, the appellant, filed a seven-count complaint against Wells Fargo Dealer Services, Inc. [read post]