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11 Apr 2021, 9:05 am
According to records kept by FINRA Ianace was employed by Wells Fargo Clearing Services, LLC (Wells Fargo) and Merrill Lynch Pierce, Fenner & Smith Incorporated (Merrill Lynch) through June 2020 when he abruptly resigned when he refused to cooperate in FINRA’s investigation over these allegations. [read post]
22 Aug 2018, 6:28 am
The securities attorneys at Gana Weinstein LLP are currently investigating Wells Fargo Clearing Services, LLC (Wells Fargo) broker Michael Morrissett (Morrissett). [read post]
11 Mar 2024, 7:14 am
Jay Pocius Allegedly Misappropriated Client Funds According to a letter of acceptance, the Financial Industry Regulatory Authority (FINRA) has barred former Wells Fargo broker Jay Pocius (Jayson Robert Pocius) (CRD#: 6018543) from associating with any FINRA member at any time. [read post]
12 Sep 2019, 6:21 am
Take the example of the recent compliance failures at Wells Fargo, the large bank, which pioneered a strategy of “cross-selling” financial products to its customers. [read post]
19 May 2015, 7:31 am
From October 21, 2011, until May 2015, Parthemer was registered with Wells Fargo Advisors, LLC (Wells Fargo). [read post]
8 May 2020, 9:25 am
Paul Liebman Wells Fargo Advisors Financial Network, LLC Oppenheimer & Co, Inc. [read post]
21 Jul 2008, 9:00 pm
Here's a free CLE that's being offered tomorrow morning (July 22, 2008) by Wells Fargo and American Land. [read post]
31 Oct 2020, 1:26 pm
Most recently, earlier this year Wells Fargo customer alleged that Agent Reed solicited him to invest in “an investment opportunity in a company not offered by Wells Fargo Advisors”, Reed broker-dealer at the time. [read post]
23 Apr 2021, 3:54 am
Wells Fargo Clearing Services, LLC,... [read post]
10 May 2019, 5:08 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4588/securities-industry-commentator/Wells Fargo Personal Banker Pleads Guilty to Money Laundering Charges (DOJ Release)Opioid Addiction on Wall Street: A Wells Fargo Employee Is Barred (BrokeAndBroker.com Blog)GOZNYM CYBER-CRIMINAL NETWORK OPERATING OUT OF EUROPE TARGETING AMERICAN ENTITIES DISMANTLED IN INTERATIONAL… [read post]
15 Aug 2014, 4:30 am
Wells Fargo Advisors, LLC, Respondent (FINRA Arbitration 14-00161, August 11, 2014).In response to Claimant’s claims, Respondent Wells Fargo Advisors asserted that it had no objection or opposition to the requested expungement but requested that all fees be assessed against Claimant. [read post]
19 Oct 2018, 6:46 am
Underwood Announces $65 Million Settlement With Wells Fargo For Misleading Investors Regarding Cross-Sell Scandal / Wells Fargo Failed to Disclose to Investors that Success of Cross-Sell Efforts was Built on Misconduct – Such as Opening Millions of Fake Deposit and Credit Card Accounts; NY Investors Lost Millions when Misconduct was Disclosed / Settlement Marks Latest Martin Act Enforcement Action to Protect NY Investors and Integrity of Financial… [read post]
21 Mar 2017, 2:42 am
Thankfully, both Wells Fargo and the Financial Industry Regulatory Authority were there to protect us. [read post]
20 May 2020, 1:06 pm
Financial Advisor Lenny Kinsman, Wells Fargo Advisors in Staten Island, NY Leonard Kinsman Reportedly Barred after Alleged Failure to Provide Testimony in FINRA’s investigation According to public records on the Financial Industry Regulatory Authority (FINRA) website, the regulator has reportedly barred financial advisor Leonard Kinsman after he apparently failed to provide information in its investigation about “the events resulting in… [read post]
3 Feb 2011, 7:00 am
Most of the debt, $2.6 million, is a claim by Wells Fargo Bank. [read post]
3 May 2021, 2:25 pm
Did You Lose Money Investing With Scott Reed And/Or Wells Fargo? [read post]
21 Feb 2018, 6:40 am
Parker, a former broker with Wells Fargo, failed to respond to a FINRA investigation against him. [read post]
16 May 2013, 2:29 pm
FINRA recently announced that Adrienne Marie Llamas, a former financial advisor with Wells Fargo in Long Beach, California, has been barred from the association with any FINRA member in any capacity. [read post]
9 Oct 2008, 7:20 pm
According to an announcement announced this afternoon, Citigroup has dropped out of the settlement talks with Wachovia and Wells Fargo, and will not challenge the Wachovia, Wells Fargo merger. [read post]
28 Oct 2019, 7:41 am
Herrera, Wells Fargo Clearing Services in Jersey City, NJ Are you concerned about investments with Ramon A. [read post]
