Search for: "WELLS FARGO FINANCIAL, INC."
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12 May 2012, 4:25 am
FINRA has announced that three of the country's largest brokerage firm: Citigroup Global Markets, Inc ("Citigroup"); Morgan Stanley & Co., LLC ("Morgan Stanley"); UBS Financial Services ("UBS"); and Wells Fargo Advisors, LLC ("Wells Fargo") were sanctioned for sales of leveraged and inverse exchange-traded funds ("ETFs") without reasonable supervision and without a reasonable basis for… [read post]
10 May 2012, 3:19 pm
This year's first vote on access was at Wells Fargo, where a Norges Bank proposal received almost 33 percent support. [read post]
7 May 2012, 2:07 pm
FINRA recently has announced that it has sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC. more than $9.1 million in total for selling leveraged and inverse exchange-traded funds or ETFs. [read post]
7 May 2012, 7:09 am
Citigroup Global Markets Inc., Morgan Stanley, UBS Financial Services Inc. and Wells Fargo recently agreed to pay $9.1 million to settle allegations that they sold leveraged and inverse exchange-traded funds to clients who had no business investing in the complex instruments. [read post]
3 May 2012, 8:15 pm
Wells Fargo & Co. [read post]
2 May 2012, 2:54 pm
., Citigroup Inc., Ally Financial lnc. [read post]
2 May 2012, 6:29 am
FINRA announced that it has fined Citigroup Global Markets, Inc; Morgan Stanley & Co., 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]
2 May 2012, 6:14 am
("Citigroup"), Morgan Stanley, UBS Financial Services, Inc. [read post]
1 May 2012, 2:22 pm
FINRA announced that it sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., 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]
26 Apr 2012, 3:51 pm
A binding access proposal (that would require a 1 percent stake for one year) went to a vote this week at Wells Fargo & Co. [read post]
24 Apr 2012, 8:45 am
The Award against Wachovia Securities, Inc., now known as Wells Fargo Advisors ("Wachovia"), was for far less than Grayson requested. [read post]
24 Apr 2012, 8:45 am
The Award against Wachovia Securities, Inc., now known as Wells Fargo Advisors ("Wachovia"), was for far less than Grayson requested. [read post]
18 Apr 2012, 9:15 am
For ours is not so much a financial crisis… nor a liquidity crisis… nor a credit crisis… nor a crisis caused by over-leverage and excessive debt. [read post]
18 Apr 2012, 3:18 am
” Memorandum of Decision and Order at 1, Wells Fargo Advisors, LLC v. [read post]
16 Apr 2012, 10:17 am
., Wells Fargo & Company, Citigroup Inc., and Ally Financial Inc. [read post]
13 Apr 2012, 11:49 am
The proceeding is unusual in that, while the Commission was still attempting to obtain information from Wells Fargo which it sought in investigative subpoenas, it sent Wells Fargo a "Wells Notice," stating that the Commission staff was "considering recommending" an enforcement action against the bank. [read post]
3 Apr 2012, 1:27 pm
Equal Employment Opportunity Commission (EEOC) announced that Wells Fargo Financial Michigan, Inc. agreed to pay $55,000 to settle an age and race discrimination suit. [read post]
28 Mar 2012, 11:07 am
Department of Housing and Urban Development, and Wells Fargo & Co. [read post]
27 Mar 2012, 8:00 am
Wells Fargo Financial Michigan Settles EEOC Race and Age Discrimination Suit Financial Company Refused to Promote Older African-American Candidate, Favoring Lesser Qualified, Younger, Caucasian Women, Federal Agency Charged Wells Fargo Financial Michigan, Inc., a financial services company formerly located in various cities in Michigan and previously employing at least 200 employees,… [read post]
26 Mar 2012, 12:11 pm
Wells Fargo & Co., 12-80087, U.S. [read post]
