Search for: "Wells Fargo Investments LLC"
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2 Nov 2012, 7:19 am
Wells Fargo, FINRA ID # 11-00484, the Claimants, James and Linda Bordas filed an arbitration claim against Wells Fargo Advisors, LLC and Ernest Coffindaffer for unsuitability, unauthorized trading, forgery, misrepresentation, fraud, negligence, breach of fiduciary duty, violations of the Securities and Exchange Act of 1934 and Rule 10b-5, respondeat superior, failure to supervise, and breach of contract. [read post]
2 Nov 2012, 7:08 am
Dawn Wiley was associated with Wells Fargo Advisors, LLC and its predecessor Wachovia Securities LLC from 2000 until her termination on January 3, 2012. [read post]
29 Oct 2012, 8:06 am
Wells Fargo Advisors, LLC (FINRA Arbitration No. 11-03911), wherein the customer asserted claims in connection with an investment in a reverse convertible note. [read post]
29 Oct 2012, 8:06 am
Wells Fargo Advisors, LLC (FINRA Arbitration No. 11-03911), wherein the customer asserted claims in connection with an investment in a reverse convertible note. [read post]
29 Oct 2012, 3:06 am
Wells Fargo Advisors, LLC (FINRA Arbitration No. 11-03911), wherein the customer asserted claims in connection with an investment in a reverse convertible note. [read post]
2 Oct 2012, 1:08 pm
The corporations and individuals from whom the SEC recovered the new available funds are Oracle Corporation, Wyeth LLC, Pfizer Inc., Wells Fargo Brokerage Services LLC, SJL Investment Management LLC, Irwin Boock, Stanton B. [read post]
1 Oct 2012, 3:00 am
Event: Know Yourself and Your Decision-Making Process: A Conversation with Nobel Laureate Daniel Kahneman Location: New York, NY October 16 Sponsor: Investment Adviser Association Event: 2012 Compliance Workshop Location: Boston, MA October 16 Sponsor: NC Department of Secretary of State Event: Investment Adviser Workshop Location: Charlotte, NC October 17 Sponsor: Hedge Funds Care & ParkRiver Fund Solutions Event: Cocktails & Commentary – Navigating… [read post]
4 Sep 2012, 12:16 pm
Wells Fargo Bank, N.A., No. [read post]
4 Sep 2012, 12:16 pm
Wells Fargo Bank, N.A., No. [read post]
15 Aug 2012, 8:25 am
Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC ("Wells Fargo") and Shawn McMurty of Minnesota, the former vice-president of its Institutional Brokerage and Sales Division, have agreed to settle charges by the Securities and Exchange Commission ("SEC") relating to the sales of certain asset-backed commercial paper investments to certain institutional customers, including… [read post]
12 Aug 2012, 7:46 pm
“A concentration of issuers creates an oligopoly,” said Bill Frey, head of Greenwich Financial Services LLC in Greenwich, Connecticut, whose firm invests in, creates and trades mortgage bonds and advises bondholders. [read post]
1 Aug 2012, 5:51 am
Vice Chair: Kent Christian President, Financial Network Wells Fargo Treasurer: Bernard B. [read post]
12 Jul 2012, 4:18 pm
Evergreen is Wachovia’s investment management business and part of Wells Fargo (WFC). [read post]
10 Jun 2012, 10:17 pm
According to stock fraud lawyers, a recent announcement by Healthcare Trust of America Inc. stated that the company will be advised by Wells Fargo Securities LLC in connection with the listing, on the New York Stock Exchange, of its Class A common stock. [read post]
5 Jun 2012, 1:22 pm
(“HTA”) recently announced that Wells Fargo Securities, LLC will advise the Company in connection with the listing of its Class A common stock on the New York Stock Exchange (“NYSE”). [read post]
5 Jun 2012, 1:22 pm
(“HTA”) recently announced that Wells Fargo Securities, LLC will advise the Company in connection with the listing of its Class A common stock on the New York Stock Exchange (“NYSE”). [read post]
5 Jun 2012, 1:22 pm
. (“HTA”) recently announced that Wells Fargo Securities, LLC will advise the Company in connection with the listing of its Class A common stock on the New York Stock Exchange (“NYSE”). [read post]
5 Jun 2012, 1:22 pm
. (“HTA”) recently announced that Wells Fargo Securities, LLC will advise the Company in connection with the listing of its Class A common stock on the New York Stock Exchange (“NYSE”). [read post]
12 May 2012, 4:25 am
., 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 recommending these ETFs. [read post]
12 May 2012, 4:25 am
., 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 recommending these ETFs. [read post]
