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14 Feb 2022, 10:37 am
The post Ex-Wells Fargo Advisor Kenneth Welsh Sued for $10 Million appeared first on The White Law Group. [read post]
11 Feb 2022, 8:25 am
According to his FINRA BrokerCheck profile, Darryl Cohen was affiliated with the following firms, during his career in the securities industry: 06/05/2015 – 04/08/2021, MORGAN STANLEY (CRD#:149777), WESTLAKE VILLAGE, CA, 05/16/2003 – 06/08/2015, WELLS FARGO ADVISORS, LLC (CRD#:19616), WESTLAKE VILLAGE, CA 02/28/1997 – 05/05/2003, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691),… [read post]
10 Feb 2022, 4:45 pm
One, created by The Washington Post’s BrandStudio, touted how Wells Fargo was investing in a cleaner environmental future. [read post]
8 Feb 2022, 2:21 pm
The article in Advisor Hub notes that “A Finra dispute resolution director improperly granted Wells Fargo’s request to strike two arbitrators, including one from a computer-generated “neutral” list, as part of an unwritten side agreement between the regulator and Wells’ lawyer. [read post]
7 Feb 2022, 7:03 am
The post You Know It’s Bad When A Judge Says ‘Wells Fargo Committed Fraud’ And That’s Not The Key Issue appeared first on Above the Law. [read post]
3 Feb 2022, 4:54 pm
On January 25, 2022, Fulton Superior Court Judge Belinda Edwards issued an order vacating a FINRA arbitration award and finding, among other things that "Wells Fargo and its counsel manipulated the arbitrator selection process. [read post]
2 Feb 2022, 5:38 am
The Point From The American Lawyer, January 31 edition (subscription required), reporting on an annual survey of U.S. law firms by Wells Fargo Private Bank Legal Specialty Group: “Firms also told the Wells Fargo researchers that they expect to implement standard rate increases of between 6% and 7% this year, on average, which would be a ‘modest increase’ over the 5.7% that Wells Fargo tallied for 2021. [read post]
31 Jan 2022, 8:44 am
(CRD#:249), LOS ANGELES, CA 09/15/2011 – 03/04/2014, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691), BEVERLY HILLS, CA 04/14/2008 – 09/16/2011, WELLS FARGO ADVISORS, LLC (CRD#:19616), LOS ANGELES, CA Potential Lawsuits to Recover Investment Losses Brokerage firms are required to properly supervise their advisors. [read post]
31 Jan 2022, 2:35 am
Well, FINRA had one of those days. [read post]
28 Jan 2022, 3:59 am
A cause of action based upon fraud must be commenced within six years from the time of the fraud, or within two years from the time the fraud was discovered, or with reasonable diligence could have been discovered, whichever is longer (see CPLR 203[g]; 213[8]; Coleman v Wells Fargo & Co., 125 AD3d 716, 716). [read post]
25 Jan 2022, 7:38 am
A former customer of Scott Reed, an ex-Wells Fargo Clearing Services broker, has filed a FINRA arbitration claim. [read post]
24 Jan 2022, 1:43 pm
Morgan Securities LLC Ganesh Iyer Morgan Stanley LPL Financial LLC Calvin Kleinmann Wells Fargo Clearing Services, LLC Wells Fargo Advisors, LLC Christopher Pierce Oppenheimer & Co. [read post]
21 Jan 2022, 10:32 am
Wells Fargo (bank customer fraud) – Wells Fargo is at it again, this time agreeing to pay a $70 million settlement after allegedly defrauding 771 customers with excessive foreign exchange service fees in violation of the Financial Institutions Reform Recovery and Enforcement Act (FIRREA). [read post]
21 Jan 2022, 10:32 am
Wells Fargo (bank customer fraud) – Wells Fargo is at it again, this time agreeing to pay a $70 million settlement after allegedly defrauding 771 customers with excessive foreign exchange service fees in violation of the Financial Institutions Reform Recovery and Enforcement Act (FIRREA). [read post]
14 Jan 2022, 9:07 am
The FCA notified Wells Fargo that they needed more information, which Wells Fargo could not, or would not respond to. [read post]
11 Jan 2022, 2:03 pm
Going toe to toe with huge firms also means leveraging project management techniques and technology to maximize productivity, according to Luis Salazar of Salazar Law in Miami, whose clients include TD Ameritrade and Wells Fargo. [read post]
6 Jan 2022, 2:26 pm
The policy implications of Yesenia Guitron’s whistleblower allegations against Wells Fargo being dismissed in court when the same allegations she brought to light yielded a $300mm enforcement settlement against the bank. [read post]
5 Jan 2022, 3:40 am
The fact that plaintiff alleged that she did not discover the breach until she made a claim under the policy in May 2011 does not compel a different outcome inasmuch as “the breach of contract cause[] of action accrued at the time of the breach, not on the date of discovery of the breach” (Yarbro v Wells Fargo Bank, N.A., 140 AD3d 668, 668 [1st Dept 2016]; see Deutsche Bank Natl. [read post]
30 Dec 2021, 6:46 am
The class action lawsuit Silver Law Group is involved in on behalf of MJ Capital Funding victims was filed against Wells Fargo Bank, who it is alleged did nothing to stop the scheme and allowed it to defraud investors. [read post]
28 Dec 2021, 2:04 am
Strong Candidates Among the Disabled Guest: Carolyn Cannistraro, Account Relationship Manager, Wells Fargo Since March 2020, 1 in 5 workers with disabilities have been dismissed from employment compared with 1 in 7 other employees. [read post]
