Search for: "Wells Fargo & Company"
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3 Jan 2019, 11:33 am
Before Wells Fargo, Schmidt was registered with Stifel, Nicolaus, & Co. [read post]
3 Jan 2019, 5:57 am
According to FINRA Disciplinary actions for December 2018, 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 Barrick, Tabor FBL Marketing Services, LLC Allstate Financial Services, LLC Conklin, Jeffrey The Huntington Investment Company American… [read post]
3 Jan 2019, 5:54 am
Inc Flores, Daniel Woodbury Financial Services, Inc Princor Financial Services Corp Giraldo, Jose Merrill Lynch, Pierce, Fenner & Smith Inc David Lerner Assoc, Inc Heitz, Donald LPL Financial LLC First Command Financial Planning, Inc Jenkins, Elisabeth LPL Financial LLC ESL Investment Services, LLC Krize, Joshua Wells Fargo Clearing Services, LLC Country Capital Management… [read post]
31 Dec 2018, 8:03 am
In August 2015, Obduskey sued McCarthy and Wells Fargo for violations of the FDCPA and Colorado law. [read post]
18 Dec 2018, 11:12 am
First Southwest Michael Giokas Fortune Financial Services, Inc Comprehensive Asset Management and Servicing Travis Marks Wells Fargo Advisors, LLC JP Morgan Securities LLC Richard Minichino Next Financial Group, Inc Wunderlich Securities, Inc Thomas Park Merrill Lynch, Pierce, Fenner & Smith Inc Wells Fargo Clearing Services, LLC Brian Roth The… [read post]
18 Dec 2018, 11:03 am
Morgan Securities LLC Virginia Nichols LPL Financial LLC Merrill Lynch, Pierce, Fenner & Smith Inc Michael Nickoli AXA Advisors, LLC NML Investors, LLC Jeffrey Offen Craft Capital Management LLC Salomon Whitney Financial Issac Onu NY Life Securities LLC Wells Fargo Advisors, LLC Michael Resciniti Spartan Capital Securities, LLC First Standard Financial Company LLC… [read post]
11 Dec 2018, 3:00 am
Key Findings A typical American household with four wireless phones paying $100 per month for taxable wireless service can expect to pay about $229 per year in wireless taxes, fees, and surcharges—up from $221 in 2017. [read post]
8 Dec 2018, 6:25 am
The article tells us that Wells Fargo & Co. executives were warned that an auto insurance plan could be overcharging customers four years before the bank scrapped the program, according to a complaint released by a Judge. [read post]
2 Dec 2018, 12:00 am
Secondly, investors might vote against the retention of specific members of the board and board committees, following the advice of shareholder advisory firms like Institutional Shareholder Services and Glass Lewis, which recently advised against the retention of a key board member of the Wells Fargo corporate responsibility committee. [read post]
30 Nov 2018, 5:07 am
My readers are familiar with my analysis of the many Compliance 1.0 train wrecks over the past decade, including #GM(delayed ignition switch recall and “69 Naughty Words”), #VW (emission cheating scandal) and Wells Fargo (fake accounts cross-selling scandal), but only rarely do I have occasion to comment on a company reaching ”rock star” status with its compliance and ethics approach. [read post]
28 Nov 2018, 12:03 pm
Finally, in Wells Fargo Bank, NA v. [read post]
21 Nov 2018, 12:01 am
Thus it has a Wells Fargo History Museum. [read post]
8 Nov 2018, 6:28 am
On September 30, 2018, California enacted Senate Bill 826 mandating that all publicly-traded companies headquartered in the state to have at least one female director by the end of 2019. [read post]
5 Nov 2018, 6:10 am
Eric Lindquist has also been registered at the following firms in Minnesota: • Wells Fargo Investments, LLC, Monticello, MN, December 13, 2000 – January 3, 2011 • Wells Fargo Brokerage Services, LLC, Minneapolis, MN, December 15, 2000- August 12, 2002 • American Express Financial Advisors, Minneapolis, MN, January 20, 1993 – February 16, 1993 • IDS Life Insurance Company, Minneapolis, MN, January 20, 1993 – February… [read post]
26 Oct 2018, 12:51 pm
It would also lower contributions limits for state House and Senate candidates, as well as alter how state legislative districts are drawn. [read post]
26 Oct 2018, 7:31 am
Morgan Securities LLC Well Fargo Advisors, LLC Stephen Murray Raymond James & Associates, Inc Morgan Keegan & Company, Inc Ivan Reyes Alexander Capital, L.P. [read post]
26 Oct 2018, 7:27 am
Morgan Securities LLC Bustamante Family Legacy LLC Daniel Flores Woodbury Financial Services, Inc Princor Financial Services Corporation Jose Giraldo Merrill Lynch, Pierce, Fenner & Smith Inc David Lerner Associates, Inc Joshua Krize Wells Fargo Clearing Services, LLC Country Capital Management Company Francine Lanaia Windsor Street Capital, LP Meyers Associates LP Scott… [read post]
18 Oct 2018, 9:00 pm
For example, Wells Fargo employees created millions of fraudulent bank and credit card accounts to inflate their sales-numbers, with high long-term costs to the corporation and shareholders. [read post]
11 Oct 2018, 5:03 pm
Former Wells Fargo Broker Faces Elder Investor Fraud Charges The US Securities and Exchange Commission has filed broker fraud-related charges against former John Greg Schmidt, a former broker for Stifel, Nicholaus and Company (SF) and Wells Fargo Financial Network LLC (WFC). [read post]
10 Oct 2018, 12:40 pm
Whether it is British Petroleum struggling to handle the aftermath of an oil refinery explosion killing 15 Alaskan workers; Wells Fargo adjusting its operations after a massive company fraud committed by 5,300 employees against over two million customer accounts; or any company experiencing a threat to its customers, the same lesson always rings true. [read post]
