Search for: "Wells Fargo and Co."
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5 Apr 2010, 5:26 pm
Wells Fargo & Co., 2010 WL 1233810 (N.D. [read post]
12 Sep 2018, 8:32 am
The investment fraud attorneys at Gana Weinstein LLP are currently investigating Wells Fargo Clearing Services, LLC (Wells Fargo) broker Peter Malis (Malis). [read post]
30 Mar 2023, 12:37 pm
-Wells Fargo & Co will pay fines of about $97.8 million for inadequate oversight of its compliance risks, enabling the apparent violation of U.S. sanctions against Iran, Syria, and Sudan. [read post]
29 Sep 2021, 4:22 pm
” Prosecutors unearthed one email from a Wells Fargo employee who wrote to a co-worker that a customer “didn’t flinch at the big fig the other day. [read post]
17 Jan 2017, 6:21 am
The reason for the elimination of this bonus compensation for advisors stems from the most recent scandal involving Wells Fargo Advisors’ parent bank Wells Fargo & Co. [read post]
11 Nov 2016, 6:43 am
After conducting a lengthy investigation, the CFPB assessed a $185 million fine against Wells Fargo & Co. after discovering that at least 5,300 of the bank’s employees had engaged in improper sales practices. [read post]
17 Aug 2009, 6:48 am
Wells Fargo & Co. will increase salaries for its CEO and three other top executives, the Associated Press reported Aug. 6. [read post]
12 May 2012, 4:25 am
FINRA has announced that three of the country's largest brokerage firm: Citigroup Global Markets, Inc ("Citigroup"); Morgan Stanley & Co., 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… [read post]
12 May 2012, 4:25 am
FINRA has announced that three of the country's largest brokerage firm: Citigroup Global Markets, Inc ("Citigroup"); Morgan Stanley & Co., 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… [read post]
6 Jul 2016, 11:40 am
Wells Fargo & Co. got less than it wanted in a federal tax-refund lawsuit, yet the bank’s partial victory may spur billions of dollars in similar refund claims from companies that have done repeated mergers and acquisitions, tax lawyers say. [read post]
21 Feb 2020, 1:26 pm
The Securities and Exchange Commission today charged California-based Wells Fargo & Co. [read post]
3 Jan 2019, 11:33 am
Before Wells Fargo, Schmidt was registered with Stifel, Nicolaus, & Co. [read post]
8 May 2012, 6:03 am
“Employers care about their employees’ ability to retire, but they are not taking enough steps to proactively assess if their employees have enough to retire,” said Joe Ready, co-director of Wells Fargo Institutional Retirement and Trust. [read post]
30 May 2023, 2:05 pm
The Securities and Exchange Commission today announced its settlement with the former head of Wells Fargo & Co. [read post]
28 Apr 2009, 11:04 am
Brown said that case didn't involve the securities at issue in the lawsuit he filed Thursday.Brown's lawsuit names Wells Fargo Investments, Wells Fargo Brokerage Services and Wells Fargo Institutional Services as defendants. [read post]
13 Nov 2020, 6:11 am
The Securities and Exchange Commission today charged former Wells Fargo & Co. [read post]
11 Mar 2019, 2:17 pm
According to his BrokerCheck record, previous to working with Wells Fargo, from 2006 to 2017, he was a registered broker with Stifel, Nicolaus, & Co., First Union, Painewebber, Prudential-Back Securities, and three IDS firms. [read post]
14 Feb 2022, 10:37 am
The post Ex-Wells Fargo Advisor Kenneth Welsh Sued for $10 Million appeared first on The White Law Group. [read post]
11 Nov 2013, 12:45 pm
On November 6, Wells Fargo & Co. disclosed in a regulatory filing with the Securities and Exchange Commission that it settled claims by the Federal Housing Finance Agency (acting as conservator to Fannie Mae and Freddie Mac) against it for approximately $335 million. [read post]
4 Jan 2019, 6:56 am
Schmidt, Formally of Wells Fargo Advisors in Dayton, Ohio Charged with Running Ponzi Scheme appeared first on Stoltmann Law. [read post]
