Search for: "WELLS FARGO FINANCIAL"
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3 Apr 2020, 11:31 am
The regulator reportedly charged Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network with failure to supervise and train investment advisors and registered representatives recommending single-inverse ETF investments to retail investors. [read post]
31 Mar 2020, 2:30 pm
The court also declined to award the wife additional counsel fees and determined that the sum remaining in the husband’s Wells Fargo brokerage account was separate property not subject to equitable distribution. [read post]
31 Mar 2020, 6:22 am
Wells Fargo Advisors, LLC Mark Wetherell Kovack Securities Inc. [read post]
31 Mar 2020, 6:02 am
Virgil Richmond II Wells Fargo Clearing Services, LLC J.P. [read post]
30 Mar 2020, 2:22 pm
Last month Wells Fargo Advisors Financial Network LLC agreed to settle administrative charges brought by the SEC, and will pay a $35 million civil penalty in order to resolve the matter. [read post]
29 Mar 2020, 10:26 am
Wells Fargo is reportedly a no-go. [read post]
25 Mar 2020, 11:41 am
ETRACS Monthly Pay 2xLeveraged Wells Fargo MLP Ex-Energy ETN(LMLP) Mandatory Redemption on March 16, 2020 LMLP Investment Losses Have you suffered losses investing in ETRACS Monthly Pay 2xLeveraged Wells Fargo MLP Ex-Energy ETN(LMLP)? [read post]
22 Mar 2020, 3:15 am
WELLS FARGO BANK, NA, Dist. [read post]
22 Mar 2020, 3:15 am
WELLS FARGO BANK, NA, Dist. [read post]
21 Mar 2020, 6:24 am
Cordray also led efforts to rein in big banks including Wells Fargo, payday lenders, and debt collectors during his tenure. [read post]
18 Mar 2020, 5:39 pm
Stoltmann Law Offices has brought arbitration claims against dozens of brokerage firms like Ameriprise Financial, Merrill Lynch, Morgan Stanley, Wells Fargo, and JP Morgan Securities involving the unsuitable recommendations for investors to invest in oil and gas related securities. [read post]
16 Mar 2020, 8:45 am
Also, in 2012, FINRA sanctioned Citigroup global markets, LLC, Morgan Stanley and Co LLC; UBS Financial services; and Wells Fargo advisors LLC over more than $9.1million dollars for selling leveraged and inversed ETFs without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
13 Mar 2020, 2:23 pm
His Wells Fargo broker acted in his own financial interest and to the detriment of his. [read post]
12 Mar 2020, 3:06 pm
On another front, Wells Fargo continues litigating against the FHFA regarding loans sold by Wells to Freddie Mac. [read post]
12 Mar 2020, 11:48 am
The Bureau ultimately fined Wells Fargo more than $1 billion for the crimes, which were brought to light by whistleblowers. [read post]
11 Mar 2020, 8:47 am
New DEP CALL 6/1/21 Wells Fargo & Co new DEP SH REP SER X Wells Fargo & Co New DEP SHS SER V JPMorgan Chase BK NA Ohio CTF DTD 3/25/13 Citibank N A PRIN Protected MKT LKD CTF DTD 10/22/10 JPMorgan Chase BK NA Columbus Ohio CTF DTD 7/21/14 Morgan Stanley FIN LLC Global GTO Medium, Term NT DTD 9/30/16 EBAY Inc NT 4.00% Callable DTE 1/15/13 The FINRA claim seeks damages between $100,000 and $500,000. [read post]
10 Mar 2020, 7:07 pm
News release: “Following the release of a Majority staff report entitled, “The Real Wells Fargo: Board & Management Failures, Consumer Abuses, and Ineffective Regulatory Oversight,” Congresswoman Maxine Waters (D-CA), Chairwoman of the House Committee on Financial Services, convened a full Committee hearing with Charles W. [read post]
6 Mar 2020, 7:19 am
The committee staff found that financial regulators knew about deficiencies at Wells Fargo for years without alerting the public to its non-compliance. [read post]
4 Mar 2020, 6:16 am
Wells Fargo Advisors Financial Network and Wells Fargo Clearing Services recently agreed to pay $35M to settle US Securities and Exchange Commission (SEC) claims. [read post]
2 Mar 2020, 11:23 am
Panelists agreed that consumers should be permitted to access and control their data with informed, meaningful consent and that financial institutions should provide transparency concerning use of consumer data (Wells Fargo’s Control Tower was cited as an example). [read post]
