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28 Feb 2020, 10:38 am
The SEC also charged that Wells Fargo failed to adequately supervise or train its financial professionals. [read post]
27 Feb 2020, 1:39 pm
The Securities and Exchange Commission today announced settled charges against Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network for failing reasonably to supervise investment advisers and registered representatives who recommended…Read the Full Press ReleaseHave a securities law question? [read post]
26 Feb 2020, 11:00 am
Wells Fargo also entered a civil settlement agreement under the Financial Institutions Reform, Recovery and Enforcement Act of 1989 (FIRREA) based on Wells Fargo’s creation of false bank records. [read post]
24 Feb 2020, 6:41 am
Wells Fargo also asked the SEC to waive bad actor disqualification.The charges center around Wells Fargo’s longstanding former practice of pressuring employees to cross-sell financial products. [read post]
23 Feb 2020, 2:42 pm
The House Financial Service Committee plans to hold hearings over Wells Fargo in March. [read post]
22 Feb 2020, 6:11 am
UNITED STATES BANKRUPTCY COURT FOR THE SOUTHERN DISTRICT OF OHIO WESTERN DIVISION AT DAYTON In re: GYPC, INC., Debtor Case No. 17‐31030 Adv. [read post]
21 Feb 2020, 6:13 am
SEC Calls “Time Out” on Proxy Advisor Guidance and ISS Litigation Posted by Cydney Posner, Cooley LLP, on Friday, February 14, 2020 Tags: Conflicts of interest, Institutional voting, ISS, Materiality, Proxy advisors, Proxy voting, SEC, Securities litigation, Securities regulation, Shareholder voting Unprecedented Enforcement Actions Against Eight Former Wells Fargo Executives Posted by Brad S. [read post]
20 Feb 2020, 9:06 am
Lila Fakhraie, Senior Vice President, Digital Banking APIs, Wells Fargo Bank Jason Gross, Co-Founder & CEO, Petal Melissa Koide, CEO, FinRegLab James Reuter, CEO & President, First Bank Holding Company The third panel will focus on the future state of the market, as well as considerations for policymakers on how to ensure consumer data is safeguarded while ensuring that consumers have continual access to their data. [read post]
14 Feb 2020, 6:31 am
According to the OCC, these amounts reflect each individual’s level of culpability and financial resources, including compensation previously clawed back by Wells Fargo. [read post]
13 Feb 2020, 7:45 am
Ex-Morgan Stanley Broker Sentenced To 30 Months Please contact Shepherd Smith Edwards and Kantas (SSEK Law Firm) if Elias Herbert Hafen, a former Morgan Stanley (MS) and Wells Fargo (WFC) broker, was your financial representative when you suffered substantial investment losses that you think may be due to fraud. [read post]
3 Feb 2020, 11:06 am
The fraud protection service at Wells Fargo put a hold on the wire and asked the controller to verify its legitimacy. [read post]
28 Jan 2020, 7:21 am
” He was working for Wells Fargo when the activity occurred that led to the regulatory action. [read post]
24 Jan 2020, 3:00 am
While his rivals have disclosed years of financial details on everything from book deals to vacation homes, Bloomberg has not released any financial information since launching a late campaign fueled entirely by his $60 billion in wealth. [read post]
22 Jan 2020, 6:00 am
Wells Fargo estimates that vapor products now make up close to 5 percent of the total tobacco market. [read post]
10 Jan 2020, 2:44 pm
Wells Fargo asked the controller for verification that the wire transfer was legitimate. [read post]
10 Jan 2020, 2:44 pm
Wells Fargo asked the controller for verification that the wire transfer was legitimate. [read post]
7 Jan 2020, 2:17 pm
Turner & Company, LLC Capital Asset Funds Tax Exempt Portfolio American General Financial Corporation Wells Fargo Bank N.A CD. [read post]
6 Jan 2020, 2:12 pm
” The conduct occurred while Zara was employed by Wells Fargo Clearing Services, LLC. [read post]
5 Jan 2020, 2:52 pm
As the insurers come to grip with the now well-established trends discussed above, they are struggling to find the right approach. [read post]
5 Jan 2020, 2:52 pm
As the insurers come to grip with the now well-established trends discussed above, they are struggling to find the right approach. [read post]
