Search for: "Wells Fargo Financial"
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12 Aug 2011, 6:48 pm
(NYSE:WB), a Charlotte-based financial services company now owned by Wells Fargo & Co., has announced the preliminary settlement of the securities class action pending against the company... [read post]
27 Sep 2008, 12:15 pm
The latest reports have Wachovia and Citi discussing a deal, but Wells Fargo is apparently still in the mix, as is Spain bank Banco Santander according to the NY Times post. [read post]
20 Mar 2019, 11:22 am
Here is the abstract: Whether it is a financial institution like Wells Fargo, an automotive company like General Motors, a transportation company... [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]
28 Jun 2021, 5:50 am
Further, weaknesses in Wells Fargo’s internal control systems also provided employees with opportunities to engage in misconduct. [read post]
1 Feb 2023, 12:22 pm
Wells Fargo – $3.7 billion. [read post]
23 Jul 2013, 12:44 pm
A former broker and financial advisor with Wells Fargo has been indicted for fraud by a federal grand jury in San Francisco. [read post]
25 May 2012, 10:55 am
Citigroup, Morgan Stanley, UBS, Wells Fargo Sanctioned by FINRA for Selling Risky ETFs [read post]
7 May 2014, 6:06 am
Wells Fargo & Co. v. [read post]
8 Sep 2016, 3:00 pm
(credit: Mike Mozart) Since at least 2011, Wells Fargo employees have been creating fake accounts using customers’ identities to boost their sales numbers, federal regulators said on Thursday. [read post]
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]
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]
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]
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]
