Search for: "Wells Fargo Financial"
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24 Aug 2017, 9:46 am
"KPMG...knew about the illegal activities [at Wells Fargo]...but didn’t think they were that big of a deal" https://t.co/L83ptDNimc #corpgov— Stefan Padfield (@ProfPadfield) August 20, 2017 "how director overcommitment ... could cause the next financial crisis" https://t.co/kwjK3bEdci #corpgov— Stefan Padfield (@ProfPadfield)... [read post]
3 Aug 2017, 7:19 am
Those individuals collectively received a paltry $172,433 in relief.Consumers need the arbitration rule, and they need it now.Recent scandals such as those involving Wells Fargo Bank, which fraudulently opened bank accounts and charged consumers debit card fees, point to this need. [read post]
29 Jul 2017, 9:47 am
To make a bad situation worse, some banks (like Wells Fargo) refuse to settle the dispute in court. [read post]
26 Jul 2017, 12:00 am
Brokerage firms suggesting that investors borrow against their securities to originate non-purpose loans has been at a number of large brokerage firms including Morgan Stanley, UBS, Wells Fargo and other firms. [read post]
24 Jul 2017, 3:22 pm
Wells Fargo blamed its outside counsel, who in turn blamed their outside discovery vendor.The lesson for Wells Fargo is obvious - as is the lesson for lawyer and law firms. [read post]
21 Jul 2017, 8:52 am
He is currently employed at Wells Fargo Clearing Services, LLC and has been employed there since January 2013. [read post]
21 Jul 2017, 6:04 am
Mendelsohn, Paul, Weiss, Rifkind, Wharton & Garrison LLP, on Saturday, July 15, 2017 Tags: Anti-corruption, Disgorgement, DOJ, FCPA, Misconduct, SEC, SEC enforcement, Securities enforcement, Supreme Court Balancing the Governance of Financial Institutions Posted by David Min, University of California, Irvine, on Sunday, July 16, 2017 Tags: Agency costs, Banks, Dodd-Frank Act, Failed banks, Fiduciary… [read post]
18 Jul 2017, 2:26 pm
Many consumer financial products like credit cards and bank accounts have arbitration clauses in their contracts that prevent consumers from joining together to sue their bank or financial company for wrongdoing. [read post]
17 Jul 2017, 11:33 pm
Wells Fargo Bank, N.A. [read post]
17 Jul 2017, 7:07 pm
Wells Fargo Bank, N.A., Civ. [read post]
11 Jul 2017, 1:38 pm
Wells Fargo Clearing Services Censured & Fined According to the Financial Industry Regulatory Authority, Wells Fargo Clearing Services, LLC (CRD #19616, St. [read post]
10 Jul 2017, 2:28 pm
Although the eight firms this—is Bank of America Corporation, The Bank of New York Mellon Corporation, Citigroup Inc., The Goldman Sachs Group, Inc., JPMorgan Chase & Co., Morgan Stanley, State Street Corporation and Wells Fargo & Company—were required to submit their plans on July 1, 2017, the Board and FDIC also announced that they were extending the deadline for American International Group, Inc. [read post]
9 Jul 2017, 7:47 am
From July 2003 until August 2016 Mirer was associated with Wells Fargo Advisors, LLC. [read post]
3 Jul 2017, 1:52 pm
Lucker is currently employed by Wells Fargo Clearing Services, LLC (Wells Fargo). [read post]
3 Jul 2017, 1:41 pm
Racial bias in the financial system The court also said the city of Miami could proceed with lawsuits against Bank of America and Wells Fargo, which allege the financial institutions targeted African-American and Latino residents with predatory loans. [read post]
30 Jun 2017, 4:10 am
The court of appeals pointed to Fargo Women’s Health Org., Inc. v. [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]
23 Jun 2017, 2:29 pm
Ungar’s transition to Wells Fargo, HSBC began a fraud investigation into Mr. [read post]
22 Jun 2017, 3:54 pm
The most current customer complaint pending against Parthemer is from May 2017, alleging Parthemer made unsuitable investments starting in 2009 when Parthemer was employed at Wells Fargo Advisors and Morgan Stanley Smith Barney. [read post]
22 Jun 2017, 2:55 pm
The Financial Industry Regulatory Authority is ordering Wells Fargo Securities (WFC) to pay a $3.25M fine for inaccuracies and mistakes in its reporting for over-the-counter trades that took place between January 2008 and March 2017. [read post]
