Search for: "Wells Fargo Financial"
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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]
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]
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]
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]
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]
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]
23 Apr 2021, 3:54 am
Wells Fargo Clearing Services, LLC,... [read post]
