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27 Oct 2014, 7:00 am
ACTION NOTICE DATE CLAIM DUE DATE 2014-119 In the Matter of Wells Fargo Advisors, LLCAdministrative Proceeding File No. [read post]
8 Oct 2014, 3:28 am
READ: In the Matter of Wells Fargo Advisors LLC, Respondent (WFA OIP, '34 Act Release No. 73175; Investment Advisers Act of 1940 Release No. 3928;Administrative Proceeding File No. 3-16153 / September 22, 2014). [read post]
15 Aug 2014, 4:30 am
Wells Fargo Advisors, LLC, Respondent (FINRA Arbitration 14-00161, August 11, 2014).In response to Claimant’s claims, Respondent Wells Fargo Advisors asserted that it had no objection or opposition to the requested expungement but requested that all fees be assessed against Claimant. [read post]
1 Aug 2014, 7:12 am
Since November 4, 2013, Wurdinger has been associated as with Wells Fargo Advisors, LLC. [read post]
31 Jul 2014, 8:49 am
During all periods mentioned in the FINRA finding he was associated with Wells Fargo Advisors, LLC. [read post]
20 Jul 2014, 5:26 am
Did they have legal advisors, board members, anyone remotely knowledgeable involved? [read post]
14 Jul 2014, 5:11 am
Thereafter, Frew became registered with Wells Fargo Advisors, LLC (Wells Fargo) in 2003. [read post]
18 Jun 2014, 7:08 am
Recently, a Financial Industry Regulatory Authority (FINRA) arbitration panel rendered a decision concerning Wells Fargo Advisors, LLC’s (Wells Fargo) claims against its former broker Steven Grundstedt (Grundstedt) for breach of three promissory notes. [read post]
1 May 2014, 6:45 am
In today's BrokeAndBroker.com Blog installment of the old employee forgivable loan ("EFL") saga, we consider the repayment obligation of a former Citigroup rep who received three EFLs, the first in the form of a bonus in 2008 for moving his book over to Wachovia Securities, LLC, which ultimately morphed into Wells Fargo Advisors, LLC. [read post]
1 May 2014, 6:40 am
MSSB and MSSB FA Notes are jointly and severally liable for and shall pay to Simmons post-judgment simple interest on the aforementioned award of $382,585.00 at the rate of $10% per annum accruing from the date of service of the Award until the award of $382,585.00 is paid in full. 13-01235 Wells Fargo Advisors, LLC Mark Brennan Kelly Respondent to pay Claimant compensatory damages in the amount of $13,831.46. [read post]
20 Mar 2014, 9:54 am
Stuart, Sr., Deceased Wells Fargo Advisors, LLC Respondent is liable for and shall pay to Claimants $131,127.27 in compensatory damages; Respondent is liable for and shall pay to Claimants attorneys’ fees and costs in the amount of $175,000.00 pursuant to contract and Texas statute. [read post]
10 Mar 2014, 10:55 am
Wells Fargo Advisors, LLC (f/k/a Wachovia Securities, LLC) Respondent is liable and shall pay to Claimant compensatory damages of $2,298,062.00 which includes prejudgment interest through May 17, 2013 at the legal rate provided by Florida law. [read post]
6 Feb 2014, 7:35 am
In January, 2009, Wife was wooed by Wachovia Securities, LLC to serve as a client financial advisor and a managing director of investments. [read post]
27 Jan 2014, 7:41 am
Wells Fargo paid over $6.5 million to settle the case. [read post]
6 Jan 2014, 7:42 am
In 2000, Busch became registered with Wells Fargo Advisors, LLC (“Wells Fargo”) where Busch remained working out of various Georgia branch office locations until his termination in October 2013. [read post]
19 Dec 2013, 3:02 pm
Boleancu was Vice President, Senior Financial Consultant in the Wealth Management Group of Wells Fargo Advisors, LLC and, before that, a Vice President, Financial Advisor with Morgan Stanley & Co., Inc. [read post]
25 Nov 2013, 6:19 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned Wells Fargo Advisors, LLC (Wells Fargo) and imposed a $150,000 fine over allegations that the firm failed to establish, maintain and enforce a supervisory system that was reasonably designed to adequately review and monitor the transmittal of funds from the accounts of customers to third party accounts in violation of NASD Rules 3010, 3012(a)(2)(B)(i) and FINRA Rule 2010. [read post]
7 Oct 2013, 4:34 pm
From May 2006 until July 2010, Kelly was registered Wells Fargo Advisors, LLC. [read post]
18 Sep 2013, 7:17 am
In the Matter of Adorean Boleancu, Respondent (AWC 2011030687701, March 5, 2013).The AWC alleges that from at least April 2008 through January 2010, while registered at Wells Fargo Advisors, LLC, and its predecessor Wells Fargo Investments, LLC (collectively, “Wells Fargo”), Boleancu converted at least $650,000 from an elderly, widowed customer.Y... [read post]
5 Aug 2013, 4:06 am
John Bulkley Meacham and Wells Fargo Advisors, LLC, Respondents (FINRA Arbitration 12-00793, July 30, 2013).Respondents Meacham and Wells Fargo Advisors generally denied the allegations and asserted various a... [read post]
