Search for: "WELLS FARGO ADVISORS, LLC"
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24 Aug 2015, 7:16 am
(King) concerning allegations that from July 2009, through November 2012, while King was registered Morgan Stanley Smith Barney LLC (Morgan Stanley) and later Wells Fargo Advisors, LLC (Wells Fargo), circumvented Wells Fargo’s policies and procedures by assisting another broker in concealing nearly $400,000 in loans to three firm customers, loaned $25,000 to a customer without permission, participated in an… [read post]
4 Aug 2015, 6:48 am
From the Desk of Jim Eccleston at Eccleston Law LLC: A battle between Wells Fargo Advisors and a former employee turned ugly when emails leaked showing the employee purportedly had funneled business to his new firm, while still employed at Wells Fargo.Wells Fargo accuses the rep of funneling business for eight months before he officially left the company. [read post]
31 Jul 2015, 2:58 pm
Berger had misappropriated funds from elderly customers with registered with Wells Fargo Advisors LLC and MetLife Securities, Inc. [read post]
15 Jul 2015, 11:07 am
On July 6, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC (collectively, “Wells Fargo”), Raymond James & Associates, Inc., Raymond James Financial Services, Inc. [read post]
9 Jul 2015, 11:27 am
At least one broker-dealer, Wells Fargo Advisors, currently faces investor loss recovery claims in arbitration.Broadmeadow Capital, which is affiliated with F-Squared rival Good Harbor Financial, is petitioning the bankruptcy court to take over the remaining assets.The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
2 Jul 2015, 3:03 pm
Have you suffered investment losses in Wells Fargo Advantage WI Tax-Free Inv? [read post]
1 Jul 2015, 12:34 pm
(“FINRA”) The FINRA AWC alleged that Daggett, while registered with Wells Fargo Advisors, LLC made numerous unsuitable recommendations of exchange traded products to his customers in violation of FINRA rules. [read post]
25 Jun 2015, 6:18 am
Thereafter, from March 2009, to May 2011, Tricarico became registered with Wells Fargo Advisors Financial Network, LLC (Wells Fargo). [read post]
24 Jun 2015, 7:33 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned and barred broker Douglas Melzer (Melzer) concerning allegations that between November 2011, and May 2012, while registered with Wells Fargo Advisors, LLC (Wells Fargo), Melzer solicited four customers to invest $2,000,000 in an outside investment without providing his firm notice. [read post]
17 Jun 2015, 6:41 am
Thereafter, in April 2004, Gates became registered with Wells Fargo Advisors, LLC (Wells Fargo). [read post]
4 Jun 2015, 10:53 am
In March 2007, Handy, Timson, and Walker joined Wells Fargo Financial Advisors Network, Inc. as registered representatives in Springfield, Missouri. [read post]
1 Jun 2015, 8:24 pm
Did you suffer investment losses as a result of your dealings with former Wells Fargo Advisor Alejandro Ariel Torres? [read post]
19 May 2015, 7:31 am
From October 21, 2011, until May 2015, Parthemer was registered with Wells Fargo Advisors, LLC (Wells Fargo). [read post]
30 Apr 2015, 6:32 am
The Financial Industry Regulatory Authority (FINRA) in an acceptance, waiver, and consent action (AWC) Wells Fargo Advisors, LLC (Wells Fargo) broker Joseph DiRago Jr. [read post]
24 Apr 2015, 11:46 am
Parthemer was employed and licensed to recommend the purchase and sale of securities by Morgan Stanley Smith Barney LLC from June 2009 through October 2011, and from October 2011 through March 2013 with Wells Fargo Advisors, LLC. [read post]
1 Apr 2015, 10:59 am
Advisors to Freddie Mac on the transaction were Wells Fargo Securities, Credit Suisse and The Williams Capital Group, L.P.The post Freddie Mac Executes Largest Sale of Delinquent Loans From Its Portfolio appeared first on Mortgage Fraud Blog. [read post]
30 Mar 2015, 6:36 am
From 2003 until present Debaise has been registered with Wells Fargo Advisors, LLC (Wells Fargo). [read post]
15 Mar 2015, 5:46 am
The Financial Industry Regulatory Authority (FINRA) sanctioned and barred broker Douglas Melzer (Melzer) concerning allegations that Melzer participated in four private securities transactions when four of his Wells Fargo Advisors, LLC (Wells Fargo) customers invested $2,000,000 in a company called Aquatic Synthesis Unlimited (Aquatic Synthesis) through investment contracts that were not approved by Wells Fargo. [read post]
12 Mar 2015, 6:45 am
Thereafter, from December 2009, until June 2010, Fackrell was a broker with Wells Fargo Advisors, LLC. [read post]
2 Jan 2015, 4:45 am
McClure from the securities industry for converting nearly $89,000 from an elderly customer’s bank account while working for Wells Fargo Advisors, LLC and an affiliated bank in Chico, California. [read post]
