Search for: "Wells Fargo Financial"
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23 May 2019, 7:43 am
According to FINRA Disciplinary actions for May 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Bethan, Frank Quest Capital Strategies, Inc Wells Fargo Clearing Services, LLC Cody, Jill Concorde Investment Services, LLC Westminster Financial Securities, Inc Cody, Richard IFS Securities… [read post]
31 Jul 2014, 8:49 am
Applewhite’s employment with Wells Fargo ended on October 22, 2012. [read post]
21 Jun 2018, 6:56 am
Not long ago, financial technology (FinTech) startups were all seeking to disrupt the market for financial services and compete directly with financial institutions (FIs) for customers. [read post]
30 Jul 2024, 7:26 am
Wells Fargo‘s sweep has come under an SEC’s investigation. [read post]
1 Jul 2013, 2:41 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in April 2012, Claimants Saunders asserted fraudulent inducement, negligent misrepresentations, and breach of fiduciary duty in connection with alleged recommendations by the respondents concerning the creation of an employer-sponsored welfare benefit plan under §419 of the Internal Revenue Code. [read post]
19 Jul 2016, 6:46 am
Second, we are confronted with the puzzling anomaly of how and why the customer complaint and Award appear on the BrokerCheck files of the FINRA member firm but not on the BrokerCheck files of the registered representative.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in September 2014,... [read post]
16 Dec 2010, 5:00 am
And at Wells Fargo, salaries rose more than 500 percent, to between $3,339,156 and $5,600,000, for four officers, including CEO John Stumpf. [read post]
4 Apr 2011, 8:55 am
Wells Fargo declined to comment. [read post]
9 May 2013, 11:43 am
Wells Fargo Investments, LLC, Nos. 11-17017, 11-55859, 11-55943, 11-55958, 2013 WL 1405949 (9th Cir. [read post]
7 Apr 2011, 11:01 am
It's clients include Bank of America, Wachovia, Key Bank, Wells Fargo and HSBC. [read post]
15 Feb 2017, 7:23 am
City of Miami, which was consolidated with Wells Fargo & Co. v. [read post]
6 May 2014, 8:43 am
Bauer-Álvarez has successfully represented Wells Fargo Bank, N.A., the indenture trustee and successful plan proponent in In re El Comandante Management Corp.; the representation of the DIP Lender and purchaser of the assets in In re Newcomm Wireless Services, Inc., the representation of Pueblo, Inc. in the acquisition of the Pueblo Supermarkets chain in In re Nutritional Sourcing Corporation, and the representation of the Puerto Rico Tourism Development Fund in the… [read post]
7 Jan 2013, 8:45 pm
It was big news today as the government reached an $8.5 billion settlement to resolve foreclosure abuse issues involving ten major mortgage banks including Bank of America, JPMorgan Chase, Wells Fargo and Citibank. [read post]
27 Feb 2007, 8:30 pm
"Wells Fargo recognizes a great need for equal access to financial products and services for all customers who want to build credit, establish financial security and achieve the 'American dream,'" she said. [read post]
10 Jan 2008, 11:40 am
It alleges that Wells Fargo targeted black neighborhoods for high-risk and unfairly priced loans â [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]
21 Feb 2020, 6:13 am
SEC Calls “Time Out” on Proxy Advisor Guidance and ISS Litigation Posted by Cydney Posner, Cooley LLP, on Friday, February 14, 2020 Tags: Conflicts of interest, Institutional voting, ISS, Materiality, Proxy advisors, Proxy voting, SEC, Securities litigation, Securities regulation, Shareholder voting Unprecedented Enforcement Actions Against Eight Former Wells Fargo Executives Posted by Brad S. [read post]
7 Jun 2011, 1:01 am
Among these cases are: the Sallie Mae case (refer here); and the Wells Fargo Mortgage-Backed Securities case (refer here). [read post]
6 Mar 2018, 8:07 am
Wells Fargo Advisors, LLC MetLife Securities Inc. [read post]
1 Sep 2015, 7:35 am
From January 2008, to August 2014, he was associated with Wells Fargo Advisors, LLC (Wells Fargo) and registered with FINRA. [read post]
