Search for: "WELLS FARGO ADVISORS, LLC"
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25 May 2012, 2:53 pm
Peter Yan Hong; Wallace Lawrence Key; Wells Fargo Adivsors, LLC, Respondents v. [read post]
12 May 2012, 4:25 am
., LLC ("Morgan Stanley"); UBS Financial Services ("UBS"); and Wells Fargo Advisors, LLC ("Wells Fargo") were sanctioned for sales of leveraged and inverse exchange-traded funds ("ETFs") without reasonable supervision and without a reasonable basis for recommending these ETFs. [read post]
12 May 2012, 4:25 am
., LLC ("Morgan Stanley"); UBS Financial Services ("UBS"); and Wells Fargo Advisors, LLC ("Wells Fargo") were sanctioned for sales of leveraged and inverse exchange-traded funds ("ETFs") without reasonable supervision and without a reasonable basis for recommending these ETFs. [read post]
9 May 2012, 2:28 pm
In November 2011, Wells Fargo Advisors, LLC. filed an arbitration claim against Kenneth Ray Koger. [read post]
7 May 2012, 2:07 pm
., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC. more than $9.1 million in total for selling leveraged and inverse exchange-traded funds or ETFs. [read post]
5 May 2012, 9:49 am
Wells Fargo Bank, N.A. v. [read post]
2 May 2012, 6:29 am
., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
2 May 2012, 6:14 am
("UBS") and Wells Fargo Advisors, LLC ("Wells Fargo") a total of $9.1 million for selling more than $27 billion of complex, non-traditional exchange traded funds ("ETFs") to investors for whom the exotic ETFs were unsuitable. [read post]
1 May 2012, 2:22 pm
., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision... [read post]
30 Apr 2012, 6:16 pm
That is when they filed a federal securities fraud lawsuit against Bartoletta, Arnett, and High Street Capital Management, LLC, High Street Financial, LLC, and High Street Group, LLC. [read post]
24 Apr 2012, 8:45 am
., now known as Wells Fargo Advisors ("Wachovia"), was for far less than Grayson requested. [read post]
24 Apr 2012, 8:45 am
., now known as Wells Fargo Advisors ("Wachovia"), was for far less than Grayson requested. [read post]
18 Apr 2012, 3:18 am
” Memorandum of Decision and Order at 1, Wells Fargo Advisors, LLC v. [read post]
16 Mar 2012, 10:39 am
WELLS FARGO ADVISORS, LLC. v. [read post]
23 Feb 2012, 9:18 am
Wachovia has since been renamed Wells Fargo Advisors, LLC. [read post]
24 Jan 2012, 10:18 am
Thereafter, from February 2004 through July 2010, Thomas was employed as a Wells Fargo Advisors, LLC. financial advisor.KL AccountIn December 2001, Thomas allegedly met KL, who served as the trustee of a $3 million settlement received on behalf of her daughter. [read post]
20 Jan 2012, 8:09 am
Additionally, as a Wells Fargo proprietary fund, Wells Fargo financial advisors likely received a higher commission for selling this investment relative to other non-proprietary funds. [read post]
16 Jan 2012, 4:42 pm
Fred Ralph Schwartz formerly with Wells Fargo Advisors, LLC, in Los Angeles, California, was fined $5,000 and suspended from association with any FINRA member for three months and was ordered to pay $42,599 restitution to customers in connection with a finding by FINRA that he engaged in excessive, unsuitable trading in the customers' accounts. [read post]
20 Dec 2011, 1:47 pm
A subsidiary of Wells Fargo Bank, Wells Fargo Investments LLC changed its name to Wells Fargo Advisors LLC in March 2010 when it merged with Wachovia Securities LLC at the same time its parent bank merged with Wachovia Bank. [read post]
8 Dec 2011, 8:02 pm
Wells Fargo Pays $148 Million to Settle Wachovia Muni Bid-Rigging Charges, Bloomberg, December 8, 2011 Wells Settles Wachovia Bid-Rig Case, Wall Street Journal, December 9, 2011 More Blog Posts: Bank of America’s Merrill Lynch Settles for $315 million Class Action Lawsuit Over Mortgage-Backed Securities, Institutional Investor Securities Blog, December 6, 2011 Former US Treasury Secretary Henry Paulson Told Hedge Funds About Fannie Mae and Freddie Mac Bailouts in… [read post]
