Search for: "WELLS FARGO FINANCIAL"
Results 441 - 460
of 2,232
Sorted by Relevance
|
Sort by Date
11 Feb 2024, 8:55 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Raul Benitez (Benitez), formerly employed by Wells Fargo Clearing Services , LLC (Wells Fargo) has been subject to at least six customer complaints and one termination for cause during the course of his career. [read post]
6 Jun 2017, 3:06 pm
Indeed, at least one consumer represented in this class action never even banked with Wells Fargo or signed an account contract.Experts from the Fair Arbitration Now (FAN) coalition are available to comment on this hearing, as well as a forthcoming rule from the Consumer Financial Protection Bureau (CFPB) that would restrict the use of arbitration clauses in future consumer financial contracts. [read post]
6 Jun 2017, 3:06 pm
Indeed, at least one consumer represented in this class action never even banked with Wells Fargo or signed an account contract.Experts from the Fair Arbitration Now (FAN) coalition are available to comment on this hearing, as well as a forthcoming rule from the Consumer Financial Protection Bureau (CFPB) that would restrict the use of arbitration clauses in future consumer financial contracts. [read post]
25 Sep 2018, 10:59 am
John Greg Schmidt – Wells Fargo – Dayton, Ohio According to a press announcement today, the Securities and Exchange Commission charged Ohio financial advisor John Greg Schmidt with allegedly defrauding his retail brokerage customers, some of whom were elderly, out of at least $1 million. [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]
9 Jan 2008, 5:58 pm
The City of Baltimore thinks so, and has filed a lawsuit against Wells Fargo. [read post]
15 Jun 2012, 8:15 am
I don’t want Wells Fargo to feel that I’m being unfair or attacking them. [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]
5 Feb 2019, 8:46 am
Terrence Puricelli- Wells Fargo Advisors – Chesterfield, MO According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred Terrence Puricelli, formerly of Wells Fargo Advisors, who was reportedly fired two years ago over allegedly inaccurate notes placed on the wirehouse’s system. [read post]
28 Sep 2018, 7:58 am
A former Wells Fargo registered representative in Daytona, Ohio is facing charges by the Securities and Exchange Commission for defrauding investors out of over a million dollars in a fraudulent scheme that targeted seniors. [read post]
4 Feb 2009, 3:34 pm
The bailout money was theoretically meant to help financial institutions stay in business and to help loosen up tight credit markets. [read post]
13 Dec 2016, 3:31 pm
Since these arbitration agreements are an attempt by Wells Fargo to stay out of the court room and settle disputes privately, the Consumer Financial Protection Bureau has proposed to prohibit banks from blocking future class action lawsuits brought on by customers. [read post]
13 Dec 2016, 3:31 pm
Since these arbitration agreements are an attempt by Wells Fargo to stay out of the court room and settle disputes privately, the Consumer Financial Protection Bureau has proposed to prohibit banks from blocking future class action lawsuits brought on by customers. [read post]
14 Apr 2011, 11:32 am
Citibank, Bank of America, JPMorgan Chase and Wells Fargo, the nation’s four largest banks, were among the financial firms cited in the joint report by the Federal Reserve, Office of Thrift Supervision and Office of the Comptroller of the Currency. [read post]
15 Jan 2015, 2:04 pm
Wells Fargo Bank, N.A. [read post]
3 May 2012, 11:58 am
The Financial Industry Regulatory Authority (FINRA) announced that it ordered Citigroup Global Markets, Morgan Stanley, UBS Financial Services, and Wells Fargo Advisors to pay more than $9.1 million for failure to supervise and failure to have a reasonable basis for recommending selling leveraged and inverse exchange traded funds. [read post]
25 Oct 2017, 10:56 am
Recently, the Financial Industry Regulatory Authority (“FINRA”) ordered Wells Fargo & Co. to pay a $3.4 million fine in connection with sales practice issues related to recommendations of volatility-linked exchange-traded funds (“ETFs”) and volatility-linked exchange-traded notes (“ETNs”) to customers. [read post]
23 Jul 2018, 11:53 am
Wells Fargo Advisors to Pay $8.6M, UBS Pays $4.3M Have you suffered losses investing in Puerto Rico bonds at the recommendation of your financial advisor? [read post]
28 Jun 2011, 11:51 am
Wells Fargo Advisors, a group of more than 3000 female current or former financial advisers sued Wells Fargo for workplace sex bias. [read post]
18 Dec 2019, 9:57 pm
A North Carolina Wells Fargo employee has been accused of stealing $90,000 from the financial institution after he was found posting images of himself on social media with large stacks of cash. [read post]
