Search for: "Wells Fargo Financial"
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29 Jan 2019, 3:12 pm
Industry Sectors Hit: The 2018 filings were once again concentrated in the three historically dominant sectors, which include firms in the health care, technology, and financial services sectors. [read post]
28 Jan 2019, 8:29 am
” The clause construction award in Wells Fargo Advisors LLC arose out of a claim by Wells Fargo financial advisors that Wells Fargo, through policy, did not correctly calculate the hours worked by financial advisors in its training program, and accordingly, did not compensate the financial advisors for overtime, in violation of the Fair Labor Standards Act and New York state law. [read post]
25 Jan 2019, 9:41 am
Here’s my two cents about getting through this financially, culled from 40 years as a bankruptcy attorney. [read post]
25 Jan 2019, 9:21 am
This company buys debts for pennies on the dollar from banks such as Wells Fargo, Citi Bank, Chase and Capital One. [read post]
24 Jan 2019, 10:09 am
Ralph Adams Bianchi (CRD #1513063) is a previously registered broker whose last known employer was Wells Fargo Clearing Services, LLC (CRD #19616) of Flemington, NJ. [read post]
19 Jan 2019, 11:41 am
John Schmidt Allegedly Created & Falsified Financial Statements to Investors; Schmidt Has Been Barred by FINRA & Terminated by Wells Fargo John Schmidt also allegedly made false financial statements to investors, and also allegedly sold securities without the prior knowledge or authorization of the investors, according to Reports from Montgomery County, Ohio. [read post]
18 Jan 2019, 9:35 am
(CRD #6694) of Garden City, NY, Wells Fargo Advisors, LLC (CRD #19616) of Melville, NY, and David Lerner Associates, Inc. [read post]
7 Jan 2019, 9:01 pm
Then the enormous pressure on them to trade will be reduced to avoid the violations such as the Wells Fargo example. [read post]
4 Jan 2019, 6:56 am
According to Investment News, the Prosecutor alleges that Schmidt, while employed a financial advisor for Wells Fargo Advisors, stole money from clients while operating a Ponzi scheme. [read post]
3 Jan 2019, 11:33 am
Before Wells Fargo, Schmidt was registered with Stifel, Nicolaus, & Co. [read post]
3 Jan 2019, 5:57 am
According to FINRA Disciplinary actions for December 2018, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Barrick, Tabor FBL Marketing Services, LLC Allstate Financial Services, LLC Conklin, Jeffrey The Huntington Investment Company American… [read post]
3 Jan 2019, 5:54 am
Inc Flores, Daniel Woodbury Financial Services, Inc Princor Financial Services Corp Giraldo, Jose Merrill Lynch, Pierce, Fenner & Smith Inc David Lerner Assoc, Inc Heitz, Donald LPL Financial LLC First Command Financial Planning, Inc Jenkins, Elisabeth LPL Financial LLC ESL Investment Services, LLC Krize, Joshua Wells Fargo Clearing… [read post]
2 Jan 2019, 11:39 am
Schmidt was reportedly working at Schmidt Investment Strategies Group while he was registered with Wells Fargo Advisors Financial since 2006. [read post]
31 Dec 2018, 8:03 am
In August 2015, Obduskey sued McCarthy and Wells Fargo for violations of the FDCPA and Colorado law. [read post]
18 Dec 2018, 11:12 am
First Southwest Michael Giokas Fortune Financial Services, Inc Comprehensive Asset Management and Servicing Travis Marks Wells Fargo Advisors, LLC JP Morgan Securities LLC Richard Minichino Next Financial Group, Inc Wunderlich Securities, Inc Thomas Park Merrill Lynch, Pierce, Fenner & Smith Inc Wells Fargo Clearing Services, LLC Brian Roth… [read post]
18 Dec 2018, 11:03 am
Morgan Securities LLC Virginia Nichols LPL Financial LLC Merrill Lynch, Pierce, Fenner & Smith Inc Michael Nickoli AXA Advisors, LLC NML Investors, LLC Jeffrey Offen Craft Capital Management LLC Salomon Whitney Financial Issac Onu NY Life Securities LLC Wells Fargo Advisors, LLC Michael Resciniti Spartan Capital Securities, LLC First Standard… [read post]
17 Dec 2018, 2:58 am
” [Ira Stoll] “Because [Florida agriculture commissioner-elect Nikki Fried] took donations from the medical marijuana industry, Wells Fargo and BB&T banks closed her campaign accounts briefly, citing policies against serving businesses related to marijuana, which is still prohibited under federal law. [read post]
13 Dec 2018, 3:50 pm
According to Wells Fargo, revenue increased 8.2 percent at the 50 top firms. [read post]
13 Dec 2018, 2:00 pm
(CRD #6694) of Garden City, NY, and Wells Fargo Advisors, LLC (CRD #19616) of Great Neck, NY. [read post]
13 Dec 2018, 1:07 pm
Ex-MML Investors Broker and Former Wells Fargo Advisors Broker Also Suspended Jackson is not the only broker that FINRA has recently suspended. [read post]
