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17 Dec 2017, 3:28 pm
All too well understood by those in the know. [read post]
17 Dec 2017, 3:28 pm
All too well understood by those in the know. [read post]
Former Wells Fargo Brokers Barred for Recommending Risky Over-Concentration in Oil & Gas Investments
14 Dec 2017, 4:04 pm
The Financial Industry Regulatory Authority (“FINRA”) has barred former Wells Fargo (CRD# 126292) financial advisors Charles Henry Frieda (CRD# 5502319) and Charles B. [read post]
9 Dec 2017, 12:26 pm
Devito was formerly registered with Wells Fargo Advisors (Wells Fargo). [read post]
7 Dec 2017, 11:54 am
But Senator Elizabeth Warren was skeptical, pointing out Sloan’s decades-long career with Wells Fargo as evidence that he might not be the best person to lead the bank through this change. [read post]
5 Dec 2017, 7:50 am
The Financial Industry Regulatory Authority (FINRA) ordered Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC (Wells Fargo) to pay more than $3.4 million in restitution to customers for unsuitable recommendations of volatility-linked exchange-traded products (ETPs) and supervisory failures concerning the sales of these products. [read post]
29 Nov 2017, 12:00 am
The Financial Industry Regulatory Authority (FINRA) has fined Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC $3.4 Million as required restitution relative to unsuitable recommendations involving volatility-linked Exchange Traded Products (ETP’s) and related supervisory failures related to these investments. [read post]
28 Nov 2017, 6:37 am
Edwards & Sons, Inc. in 1991 and moved to Wells Fargo Advisors in January 2008 where he stayed until December 2016. [read post]
27 Nov 2017, 12:38 pm
Wells Fargo Scandal: Why Class Actions Are Necessary With last year’s Wells Fargo scandal still fresh in Americans’ minds, overturning the block on class action lawsuits is unwelcome news. [read post]
15 Nov 2017, 12:15 pm
Court Shoots Down Lender’s Attempt to Expand Doctrine of Equitable Subrogation In the interesting case of Wells Fargo Bank v. [read post]
14 Nov 2017, 6:12 am
Wells Fargo agreed to the settlement, without admitting or denying the findings. [read post]
7 Nov 2017, 10:51 am
This comes just weeks after Congress took the extraordinary step of undoing the Consumer Financial Protection Bureau’s rule that would have allowed defrauded and cheated individuals to file class actions against financial institutions that violate the law, like Wells Fargo and Equifax. [read post]
3 Nov 2017, 5:05 am
Of course, most Americans cannot afford to do this on their own, so they have to band together to be able to light companies like Wells Fargo that opened millions of fake accounts or Equifax when it allowed sensitive personal data to be breached for more than 145 million Americans. [read post]
1 Nov 2017, 3:00 am
On the same proposal before Wells Fargo, State Street voted no. [read post]
31 Oct 2017, 9:30 pm
Wells Fargo has admitted that it opened 3.5 million fake accounts that consumers never asked for and never wanted. [read post]
26 Oct 2017, 6:14 pm
I just closed on the refinance of my mortgage with SoFi rather than Bank of America or Wells Fargo. [read post]
25 Oct 2017, 10:56 am
Recently, the Financial Industry Regulatory Authority (“FINRA”) ordered Wells Fargo & Co. to pay a $3.4 million fine in connection with sales practice issues related to recommendations of volatility-linked exchange-traded funds (“ETFs”) and volatility-linked exchange-traded notes (“ETNs”) to customers. [read post]
24 Oct 2017, 5:35 am
The Financial Industry Regulatory Authority (FINRA) has ordered Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC to pay more than $3.4 million in restitution to customers for alleged unsuitable recommendations of volatility-linked exchange-traded products (ETPs) and supervisory failures, according to InvestmentNews. [read post]
23 Oct 2017, 8:48 am
So far, scandals at Wells Fargo and Equifax have drawn public awareness to the need for access to class actions. [read post]
23 Oct 2017, 8:16 am
On October 16, 2017, The Financial Industry National Regulatory Authority (“FINRA”) announced a $3.4 million dollar fine against Wells Fargo, in connection to Wells Fargo brokers improperly placing retail clients in volatility linked products. [read post]
