Search for: "WELLS FARGO FINANCIAL"
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30 Mar 2011, 8:55 am
The NYC Pension Funds submitted a proposal to at least three financial institutions, Citigroup, Bank of America, JP Morgan and Wells Fargo. [read post]
11 Jul 2013, 7:25 am
., Wells Fargo Advisors, TD Ameritrade Inc. [read post]
12 Sep 2013, 12:58 pm
On August 15, as reported on www.nbcbayarea.com, Richmond Mayor Gayle McLaughlin appeared at Wells Fargo headquarters in San Francisco to demand that Wells Fargo drop its federal lawsuit against Richmond. [read post]
8 Oct 2008, 10:32 am
., Wachovia Corp. and Wells Fargo & Co. [read post]
24 Mar 2022, 8:51 am
Rivero was a broker and investment advisor at Wells Fargo for a total of nine years, then resigned to join LPL Financial. [read post]
19 Jul 2024, 6:23 am
Paul Trimber (Paul Francis Trimber CRD# 2765260) is a former broker and investment advisor last employed with Wells Fargo Clearing Services, LLC (CRD# 19616) of Alexandria, VA. [read post]
17 Feb 2012, 1:17 pm
Wells Fargo debt collectors began harassing her with telephone calls and threatening to take legal action. [read post]
28 Aug 2022, 8:09 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Reed was employed by Wells Fargo Clearing Services, LLC (Wells Fargo) at the time of the activity. [read post]
25 Jul 2022, 4:10 am
Former Wells Fargo Advisors Senior Vice President Moves Federal Court to Undo 2017 FINRA Settlement (BrokeAndBroker.com Blog)Justice Department and Consumer Financial Protection Bureau Secure Agreement with Trident Mortgage Company to Resolve Lending Discrimination Claims / Settlement Provides Over $20 Million to Increase Credit Opportunities in Neighborhoods of Color / First Redlining Settlement Against Mortgage Company; Second Largest Redlining Settlement in Justice… [read post]
25 Jul 2022, 4:10 am
Former Wells Fargo Advisors Senior Vice President Moves Federal Court to Undo 2017 FINRA Settlement (BrokeAndBroker.com Blog)If you lost money in crypto, here's how you can get some back / Investors want to flee crypto funds, like those at Anthony Scaramucci's SkyBridge. [read post]
17 Sep 2022, 9:15 am
Ungerleider, Candidate for FINRA 2022 Small Firm Member of the National Adjudicatory Council / FINRA and We Have Skin in the Game (BrokeAndBroker.com Blog)Wells Fargo Wins FINRA Arbitration Against Former Rep With Three On And Off Lawyers (BrokeAndBroker.com Blog)FINRA Fines and Suspends Former Rep for Non-disclosure of Misdemeanor Theft ChargeIn the Matter of Jimmie Scott Griffea, Respondent (FINRA AWC)FINRA Censures and Fines IBN Financial Services, Inc. for OBA… [read post]
27 Aug 2022, 9:19 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6635/securities-industry-commentator/Tastyworks Eats $2 Million Worth Of Not-So-Tasty ZOOM Options (BrokeAndBroker.com Blog)Unsettling Settlement Puts FINRA's Board of Governors in Troubling Light (BrokeAndBroker.com Blog)US Department of Labor orders Wells Fargo to pay more than $22M for retaliating against executive that alleged… [read post]
6 Nov 2019, 6:08 am
Herrera, a former Wells Fargo financial advisor, allegedly misappropriated approximately $450,000 from roughly 40 clients, according to an October 24th New Jersey report under review by investor rights attorney Alan Rosca. [read post]
6 Nov 2019, 6:08 am
Herrera, a former Wells Fargo financial advisor, allegedly misappropriated approximately $450,000 from roughly 40 clients, according to an October 24th New Jersey report under review by investor rights attorney Alan Rosca. [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]
7 Oct 2016, 1:18 pm
KIncade was discharged from Wells Fargo in January 2016. [read post]
30 Aug 2013, 7:20 am
Wells Fargo personal bankers (or “financial specialists,” as they were once called at Wachovia) performed customer service and generated business. [read post]
27 Jun 2017, 2:31 pm
A currently pending case against Sharenow was filed in October 2016 for allegedly over-concentrating a client’s portfolio during the period of 2012 to 2015 while he was employed at Wells Fargo Advisors. [read post]
6 Apr 2009, 7:34 am
The plaintiff, Michael Serricchio, worked as a financial advisor for Wachovia, now Wells Fargo, when he was called to active duty in 2001. [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]
