Search for: "Wells Fargo Financial Inc" Results 41 - 60 of 673
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24 Dec 2019, 11:00 am by Silver Law Group
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]
18 Mar 2010, 11:12 am by Marx Sterbcow
The United States Court of Appeals for the 9th Circuit ruled in favor of Wells Fargo Home Mortgage Inc., WFC Holdings Corporation, Wells Fargo & Company, and Wells Fargo Financial Services Inc. on the issue of whether overcharging a settlement service fee to the consumer violates the real estate settlement procedures act (RESPA). [read post]
4 Jun 2013, 7:48 am by D. Daxton White
 FINRA ordered Wells Fargo Advisors, LLC, as successor for Wells Fargo Investments, LLC, to pay a fine of $1.25 million and to reimburse approximately $2 million in losses to 239 customers. [read post]
1 Jul 2015, 12:34 pm by Lax & Neville LLP
Daggett (“Daggett”) submitted a Letter of Acceptance, Waiver, and Consent (“AWC”) to settle allegations made by the Financial Industry Regulatory Authority, Inc. [read post]
24 Jul 2009, 11:35 am
The two bank's sell securities through Wells Fargo Investments and WM Financial Services, which is now doing business as Chase Investment Services. [read post]
1 May 2012, 2:22 pm by Securites Lawprof
FINRA announced that it sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., 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... [read post]
28 Aug 2020, 8:54 am
Indicted And Arrested For Conspiracy To Commit Wire Fraud (DOJ Release)SEC Charges Florida Men for Ponzi Scheme Targeting Investors in Puerto Rico (SEC Release)SEC Charges Firm and Its CEO with Unlawful Sales of Securities (SEC Release)CFTC Charges 5 Canadians, 1 American, and 4 Companies in $165 Million Global Binary Options Fraud Scheme (CFTC Release)FINRA Imposes Censure, Fine and Restitution on Wells Fargo Clearing Services and Wells Fargo Advisors… [read post]
28 Nov 2017, 6:37 am by Adam Gana
Edwards & Sons, Inc. in 1991 and moved to Wells Fargo Advisors in January 2008 where he stayed until December 2016. [read post]
25 Jul 2011, 9:30 am by blacklobellolaw
Last Wednesday, the Federal Reserve  issued a consent cease and desist order and assessed an $85 million civil money penalty against Wells Fargo & Company of San Francisco, a registered bank holding company, and Wells Fargo Financial, Inc., of Des Moines. [read post]
2 May 2012, 6:29 am by Mark Astarita
FINRA announced that it has fined Citigroup Global Markets, Inc; Morgan Stanley & Co., 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]