Search for: "Wells Fargo Securities, LLC"
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17 Sep 2015, 7:27 am
In addition to customer complaints, Batchen was also subject to an employment separation from Wells Fargo Advisors LLC (Wells Fargo) where the broker resigned during an internal review of allegations of unauthorized trading. [read post]
10 Sep 2015, 9:39 am
From June 2009, until January 2014, Frechter was a registered representative with Wells Fargo Advisors, LLC. [read post]
8 Sep 2015, 8:07 am
In another blog post, Malecki Law cited fines against Citigroup Global Markets, Inc., Morgan Stanley & Co, LLC, UBS Financial Services, and Wells Fargo Advisors, LLC for permitting recommendations of inverse and leveraged ETFs without proper supervision. [read post]
1 Sep 2015, 7:35 am
From January 2008, to August 2014, he was associated with Wells Fargo Advisors, LLC (Wells Fargo) and registered with FINRA. [read post]
24 Aug 2015, 7:16 am
(King) concerning allegations that from July 2009, through November 2012, while King was registered Morgan Stanley Smith Barney LLC (Morgan Stanley) and later Wells Fargo Advisors, LLC (Wells Fargo), circumvented Wells Fargo’s policies and procedures by assisting another broker in concealing nearly $400,000 in loans to three firm customers, loaned $25,000 to a customer without permission, participated in an undisclosed… [read post]
8 Aug 2015, 5:00 am
Wells Fargo Sec., LLC, 2015 U.S. [read post]
4 Aug 2015, 6:48 am
” Wells Fargo is asking for more than $1.7 million in damages.The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
31 Jul 2015, 2:58 pm
Berger had misappropriated funds from elderly customers with registered with Wells Fargo Advisors LLC and MetLife Securities, Inc. [read post]
13 Jul 2015, 10:24 am
On July 1, Justice Marcy Friedman of the Supreme Court of New York for New York County denied Natixis Real Estate Holdings, LLC’s (“Natixis”) motion to dismiss a repurchase action brought by Wells Fargo Bank, N.A., and Computershare Trust Company, N.A. in their collective capacity as Securities Administrator for Natixis Real Estate Capital Trust 2007-HE2. [read post]
9 Jul 2015, 11:27 am
At least one broker-dealer, Wells Fargo Advisors, currently faces investor loss recovery claims in arbitration.Broadmeadow Capital, which is affiliated with F-Squared rival Good Harbor Financial, is petitioning the bankruptcy court to take over the remaining assets.The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
2 Jul 2015, 3:03 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
1 Jul 2015, 12:34 pm
(“FINRA”) The FINRA AWC alleged that Daggett, while registered with Wells Fargo Advisors, LLC made numerous unsuitable recommendations of exchange traded products to his customers in violation of FINRA rules. [read post]
25 Jun 2015, 6:18 am
Thereafter, from March 2009, to May 2011, Tricarico became registered with Wells Fargo Advisors Financial Network, LLC (Wells Fargo). [read post]
24 Jun 2015, 7:33 am
Melzer entered the securities industry in 2008 when he became registered with Wells Fargo. [read post]
17 Jun 2015, 6:41 am
Thereafter, in April 2004, Gates became registered with Wells Fargo Advisors, LLC (Wells Fargo). [read post]
4 Jun 2015, 10:53 am
Wells Fargo allegedly discharged Handy, Timson, and Walker in July 26, 2013, for failure to disclose the nature of their relationship with Signal Point Asset Management, LLC, according to their CRDs. [read post]
1 Jun 2015, 8:24 pm
Torres received the check in December 2013 while employed at Wells Fargo. [read post]
27 May 2015, 12:31 pm
Stamp and her husband, Michael Stamp, owned Stamp Farms and Northstar Grain, LLC, two Decatur businesses that filed for bankruptcy in 2012 after securing more than $65 million in financing from Wells Fargo Bank. [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]
12 May 2015, 3:26 pm
Essentially, in addition to taking on the credit risk of the issuer, the investor also takes on the price risk of the referenced security or securities. [read post]
