Search for: "WELLS FARGO FINANCIAL"
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4 Jun 2019, 11:14 am
With 28 years in the industry, Strnad was most recently a Wells Fargo (WFC) broker and also previously a Citibank (C) broker. [read post]
30 May 2019, 9:01 pm
Was Wells Fargo’s action legal? [read post]
29 May 2019, 8:50 am
Hafen was discharged by Wells Fargo on 8/21/2018, after “entering into financial arrangements with clients that were not approved by the firm. [read post]
29 May 2019, 7:44 am
(CRD#:10740), Wells Fargo Advisors, LLC (CRD#:19616), and HSBC Securities (USA) INC. [read post]
29 May 2019, 6:23 am
Wells Fargo looks at China’s diesel fuel consumption and notes that is down by more than 30% in just the last couple of months and considers that an indication of its economy being way down as well. [read post]
27 May 2019, 5:24 am
The recent sales practice scandal at Wells Fargo, leading to the dismissal of more than 5300 employees, shows that the compliance challenge is an ongoing and permanent one—and it is not limited to the financial industry at all. [read post]
24 May 2019, 7:25 am
According to BrokerCheck records financial advisor Richard Bernstein (Bernstein), currently employed by Wells Fargo Clearing Services, LLC (Wells Fargo) has been subject to at least eight customer complaints during the course of his career. [read post]
23 May 2019, 7:43 am
According to FINRA Disciplinary actions for May 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 Bethan, Frank Quest Capital Strategies, Inc Wells Fargo Clearing Services, LLC Cody, Jill Concorde Investment Services, LLC Westminster Financial Securities, Inc Cody, Richard IFS Securities… [read post]
22 May 2019, 2:00 am
Company scandals like those Wells Fargo, Volkswagen, and Facebook have experienced cost millions of dollars every year—sometimes billions of dollars. [read post]
20 May 2019, 7:01 am
Perry and Robin Johnson are two former financial advisors for Wells Fargo that have brought a complaint against the company. [read post]
17 May 2019, 1:18 pm
Schmidt was discharged by his last employer, Wells Fargo Advisors Financial Network, LLC (CRD#:11025), of Dayton, OH, after allegations of “unauthorized money movement between clients,” and inaccurate account statements that were not generated or approved by Wells Fargo. [read post]
17 May 2019, 11:20 am
The post FINRA Bars Wilfred Rodriquez, Jr., Wells Fargo Boca Raton Office appeared first on Securities Arbitration Lawyers Blog. [read post]
17 May 2019, 3:00 am
It will also implement new business and risk-management processes. https://www.reuters.com/article/us-wells-fargo-risk/wells-fargo-creates-new-unit-focused-on-regulatory-compliance-idUSKCN1SE2U5 How We Howeyby Hester M. [read post]
13 May 2019, 8:59 am
“Small business owners are showing signs of strong optimism, according to the latest quarterly Wells Fargo/Gallup Small Business Index survey. [read post]
10 May 2019, 12:30 pm
Miami officials have plausibly alleged that Bank of America and Wells Fargo refused to loan money to black and Latino homebuyers on the same terms as comparably situated white borrowers, instead lending to minorities only on predatory terms, resulting in disproportionate defaults and financial harm to the city in the form of lost tax revenue. [read post]
10 May 2019, 11:37 am
Wells Fargo Bank, N.A. [read post]
10 May 2019, 5:08 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4588/securities-industry-commentator/Wells Fargo Personal Banker Pleads Guilty to Money Laundering Charges (DOJ Release)Opioid Addiction on Wall Street: A Wells Fargo Employee Is Barred (BrokeAndBroker.com Blog)GOZNYM CYBER-CRIMINAL NETWORK OPERATING OUT OF EUROPE TARGETING AMERICAN ENTITIES DISMANTLED IN INTERATIONAL… [read post]
3 May 2019, 8:18 am
According to Berger’s FINRA BrokerCheck report, during his sixteen year career in Boca Raton and Fort Lauderdale, Florida, he worked at 5 different firms, including Newbridge Securities, MetLife, and Wells Fargo. [read post]
29 Apr 2019, 12:55 pm
The defendants are Bank of America NA, Barclays Capital, Wells Fargo Securities, LLC, Citigroup Global Markets, Inc., BNP Paribas Securities Corp., Deutsche Bank Securities, JPMorgan Securities, HSBS Bank Plc, HSBC Securities, JP Morgan Chase Bank, TD Securities, Nomura Securities International Inc., and Merrill Lynch, Pierce, Fenner & Smith. [read post]
26 Apr 2019, 1:47 am
FINRA Bars Former Merrill Lynch and Wells Fargo Rep. [read post]
