Search for: "Wells Fargo Funding"
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12 May 2012, 4:25 am
., 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 recommending these ETFs. [read post]
11 May 2012, 10:11 pm
Donors include Wells Fargo WFC +0.36% & Co., Bank of America Corp. [read post]
10 May 2012, 4:30 am
Wells Fargo Bank, N.A., et al, 2012 WL 84723 (C.D. [read post]
10 May 2012, 2:45 am
Accordingly, both the complaint and the proposed amended complaint failed to state a cause of action for legal malpractice based on the defendant's failure to rescind the subject loan and mortgage pursuant to Wells Fargo's alleged violation of the TILA. [read post]
8 May 2012, 2:21 pm
At Wells Fargo & Co., support increased nearly eight percentage points to 37.8 percent. [read post]
7 May 2012, 2:07 pm
., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC. more than $9.1 million in total for selling leveraged and inverse exchange-traded funds or ETFs. [read post]
7 May 2012, 7:09 am
., Morgan Stanley, UBS Financial Services Inc. and Wells Fargo recently agreed to pay $9.1 million to settle allegations that they sold leveraged and inverse exchange-traded funds to clients who had no business investing in the complex instruments. [read post]
5 May 2012, 10:37 am
Wells Fargo reports that they haven’t even received the contracts from the Treasury Department as of today. [read post]
4 May 2012, 6:44 am
Earlier this week, leveraged and inverse ETFs took center stage when the Financial Industry Regulatory Authority (FINRA) levied $9.1 million in penalties on four major banks – Citigroup Global Markets, Morgan Stanley & Co., UBS Financial Services and Wells Fargo Advisors – for their role in selling the risky investments to retail clients who, because of their conservative risk profiles, should never have purchased them. [read post]
3 May 2012, 11:58 am
The Financial Industry Regulatory Authority (FINRA) announced that it ordered Citigroup Global Markets, Morgan Stanley, UBS Financial Services, and Wells Fargo Advisors to pay more than $9.1 million for failure to supervise and failure to have a reasonable basis for recommending selling leveraged and inverse exchange traded funds. [read post]
3 May 2012, 5:33 am
Several of the nation’s leading banks – including Citigroup, Morgan Stanley, UBS and Wells Fargo – were recently sanctioned by the Financial Industry Regulatory Authority (FINRA) for more than $9.1 million over their failure to supervise retail sales of leveraged and inverse exchange-traded funds (ETFs). [read post]
2 May 2012, 2:54 pm
/GMAC, and Wells Fargo & Company (the "Banks"). [read post]
2 May 2012, 6:29 am
., 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]
2 May 2012, 6:14 am
("UBS") and Wells Fargo Advisors, LLC ("Wells Fargo") a total of $9.1 million for selling more than $27 billion of complex, non-traditional exchange traded funds ("ETFs") to investors for whom the exotic ETFs were unsuitable. [read post]
1 May 2012, 2:22 pm
., 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]
1 May 2012, 8:36 am
Citigroup, Morgan Stanley, UBS and Wells Fargo agreed to pay fines of more than $9 million to settle cases tied to exchange-traded funds. [read post]
1 May 2012, 6:06 am
Wells you’ve certainly come to the right fargo. [read post]
29 Apr 2012, 7:38 pm
Bank, Regions Financial and Wells Fargo among them — are aggressively courting low-income customers like Mr. [read post]
27 Apr 2012, 9:30 am
Effective with Mandatory registrations and Best Effort locks on or after March 26, 2012, Wells Fargo Funding will not purchase loans if a TPO involved in the loan transaction appears on Wells Fargo’s TPO List. [read post]
27 Apr 2012, 9:30 am
Effective with Mandatory registrations and Best Effort locks on or after March 26, 2012, Wells Fargo Funding will not purchase loans if a TPO involved in the loan transaction appears on Wells Fargo’s TPO List. [read post]
