Search for: "WELLS FARGO FINANCIAL"
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24 Dec 2019, 11:00 am
Leonard Charles Kinsman (CRD: #2816535) is a former registered broker and investment advisor whose last employer was Wells Fargo Advisors Financial Network, LLC (CRD#:11025) of Staten Island, NY, until 7/4/2019. [read post]
24 Dec 2019, 7:38 am
According to FINRA Disciplinary actions for December 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Amparo, Nelson Citizens Securities, Inc Santander Securities LLC Bethan, Frank Quest Capital Strategies, Inc Wells Fargo Clearing Services, LLC Brown, Andrew Worden Capital Management LLC … [read post]
24 Dec 2019, 7:19 am
Morgan Securities LLC World Financial Group Williams, Minjoe Wells Fargo Clearing Services, LLC National Securities Corporation Wright, Tiana Northwestern Mutual Investment Services LLC FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers. [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]
12 Dec 2019, 6:56 am
The employee then created and approved the transfer, but a fraud prevention service from Wells Fargo asked for verification that the wire transfer was legitimate. [read post]
11 Dec 2019, 3:31 pm
Because the fraudulent transfer depended on conversations with Leach and with Wells Fargo, no immediate link existed. [read post]
26 Nov 2019, 7:44 am
According to FINRA Disciplinary actions for November 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Ajayi, Emmanuel JP Morgan Securites LLC HSBC Securities (USA) Inc Arts, Christopher Scarsdale Equities LLC Leeb Brokerage Services Bennett,… [read post]
26 Nov 2019, 7:23 am
Wells Fargo Clearing Services, LLC Raymond James & Associates, Inc Soliman, Fadi IBN Financial Services, Inc Ameriprise Financial Services, Inc. [read post]
26 Nov 2019, 7:12 am
According to FINRA Disciplinary actions for October 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Clay, Nathaniel Laidlaw & Company (UK) LTD National Securities Corp Gennity, William First Standard Financial Company Alexander Capital Germano, Anthony Wells Fargo Advisors… [read post]
26 Nov 2019, 7:02 am
According to FINRA Disciplinary actions for October 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Acca, Lisa Arive Capital Markets Global Arena Capital Partners Bailey, Michael PFS Investments Primerica Financial Services Bartley,… [read post]
26 Nov 2019, 6:50 am
According to FINRA Disciplinary actions for October 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Bender, Charles Suntrust Investment Services, Inc JP Morgan Securities Bingham, Daniel Essex Securities Investors Capital Corp Devaney, Patrick… [read post]
22 Nov 2019, 5:51 am
Brownstein, Wachtell, Lipton, Rosen & Katz, on Wednesday, November 20, 2019 Tags: Boards of Directors, Compliance and disclosure interpretation, Disclosure, ESG, Institutional Investors, Proxy advisors, Risk, Risk management, Risk oversight, Shareholder voting, Sustainability, Wells Fargo Letter by SEC Commissioner Robert J. [read post]
21 Nov 2019, 8:44 am
Wells Fargo’s Modjtabai to Exit as Scharf Shapes LeadershipBloomberg – November 20, 2019 Avid Modjtabai, who runs Wells Fargo & Co. [read post]
19 Nov 2019, 10:00 pm
Wells Fargo & Co. [read post]
18 Nov 2019, 11:36 am
In arguing that the U.S. needs an independent regulatory agency similar to the one in Great Britain, he asked students, ‘How many of you think that Wells Fargo should decide what the regulations should be for the financial services industry? [read post]
13 Nov 2019, 5:48 am
At the time of investigation, Robert Meyers is not registered with any FINRA member firm, though he was last in the employment of Wells Fargo Clearing Services LLC until 2017. [read post]
13 Nov 2019, 5:48 am
At the time of investigation, Robert Meyers is not registered with any FINRA member firm, though he was last in the employment of Wells Fargo Clearing Services LLC until 2017. [read post]
6 Nov 2019, 6:08 am
Herrera, a former Wells Fargo financial advisor, allegedly misappropriated approximately $450,000 from roughly 40 clients, according to an October 24th New Jersey report under review by investor rights attorney Alan Rosca. [read post]
6 Nov 2019, 6:08 am
Herrera, a former Wells Fargo financial advisor, allegedly misappropriated approximately $450,000 from roughly 40 clients, according to an October 24th New Jersey report under review by investor rights attorney Alan Rosca. [read post]
31 Oct 2019, 10:23 am
The confusingly named United Services Automobile Association, which provides insurance and other financial products, sued Wells Fargo for infringing two patents on the concept of cashing checks with a mobile device. [read post]
