Search for: "Wells Fargo Investments LLC"
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7 May 2012, 2:07 pm
., 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]
5 May 2012, 9:49 am
Wells Fargo Bank, N.A. v. [read post]
2 May 2012, 6:29 am
., 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
("UBS") and Wells Fargo Advisors, LLC ("Wells Fargo") a total of $9.1 million for selling more than $27 billion of complex, non-traditional exchange traded funds ("ETFs") to investors for whom the exotic ETFs were unsuitable. [read post]
24 Apr 2012, 8:45 am
., now known as Wells Fargo Advisors ("Wachovia"), was for far less than Grayson requested. [read post]
24 Apr 2012, 8:45 am
., now known as Wells Fargo Advisors ("Wachovia"), was for far less than Grayson requested. [read post]
23 Feb 2012, 9:18 am
Wachovia has since been renamed Wells Fargo Advisors, LLC. [read post]
26 Jan 2012, 5:16 pm
Wells Fargo had sued Vandorn, Cook and an LLC formed by the two individuals to collect on a defaulted loan made for the LLC to buy a lot in a high-end resort development called Laurelmor. [read post]
20 Jan 2012, 8:09 am
Have you suffered investment losses in the Wells Fargo Global Dividend Advantage Opportunity Fund? [read post]
16 Jan 2012, 4:42 pm
Fred Ralph Schwartz formerly with Wells Fargo Advisors, LLC, in Los Angeles, California, was fined $5,000 and suspended from association with any FINRA member for three months and was ordered to pay $42,599 restitution to customers in connection with a finding by FINRA that he engaged in excessive, unsuitable trading in the customers' accounts. [read post]
10 Jan 2012, 2:46 pm
Wells Fargo was also ordered to update Kipple’s U-5 to reflect that he was “terminated without cause. [read post]
20 Dec 2011, 1:47 pm
A subsidiary of Wells Fargo Bank, Wells Fargo Investments LLC changed its name to Wells Fargo Advisors LLC in March 2010 when it merged with Wachovia Securities LLC at the same time its parent bank merged with Wachovia Bank. [read post]
16 Dec 2011, 10:54 pm
US Bank, Bank of New York Mellon, Wells Fargo & Co., HSBC, and Citibank are the trustees. [read post]
16 Dec 2011, 7:01 am
The Financial Industry Regulatory Authority (FINRA) announced that is has fined Wells Fargo Investments, LLC (Wells Fargo) $2 million related to the sales of unsuitable reverse convertible notes to elderly customers. [read post]
16 Dec 2011, 6:04 am
FINRA fined Wells Fargo Investments, LLC, $2 million for unsuitable sales of reverse convertible securities through one broker to 21 customers, and for failing to provide sales charge discounts on Unit Investment Trust (UIT) transactions to eligible customers. [read post]
15 Dec 2011, 11:52 am
Today, the Financial Industry Regulatory Authority (FINRA) announced that Wells Fargo Investments, LLC was fined $2 million for making unsuitable investments in connection with the sale of reverse convertible notes and for failing to provide required sales charge discounts on Unit Investments Trust (UIT) transactions. [read post]
14 Dec 2011, 2:45 pm
Wachovia merged with Wells Fargo in March 2010. [read post]
8 Dec 2011, 8:02 pm
Wells Fargo & Co. has agreed to settle for $148 million the civil claims and criminal charges accusing Wachovia Bank of taking part in a bid-rigging scam with other financial firms and overcharging local and state governments on their investments. [read post]
3 Nov 2011, 8:21 am
Their purported companies are likely to appear well-established, reputable, and qualified to do the tasks at hand. [read post]
1 Nov 2011, 5:05 am
Hunt has represented some of the most prominent investment managers and mutual fund families in the United States, including the Wells Fargo Advantage Funds and the Dodge & Cox Funds. [read post]
