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4 May 2017, 7:34 am
Specifically, Richard asked the court to award him an amount equal to roughly one-half of the total sum contained in five Wells Fargo accounts, which would mean an award of just over $500,000. [read post]
28 Apr 2017, 6:02 am
Gonzalez, Paul, Weiss, Rifkind, Wharton & Garrison LLP, on Saturday, April 22, 2017 Tags: Accountability, Bank boards, Banks, Boards of Directors, Compliance & ethics, Consumer protection, Corporate culture, Financial institutions, Financial regulation, Management, Misconduct, Oversight, Risk oversight, Wells Fargo One Take on the Report of the Independent Directors of Wells Fargo: Vote the Bums Out Posted by Howell E. [read post]
27 Apr 2017, 6:08 am
Solely going by the allegations in its claim, it looked like a major six-figure payday for Wells Fargo. [read post]
27 Apr 2017, 6:02 am
Wells Fargo Advisors, LLC, Respondent (FINRA... [read post]
22 Apr 2017, 2:28 pm
Professor Jackson is the co-author of Financial Regulation: Law and Policy (Foundation Press 2016) and has served as an expert witness for the plaintiff class in In re Wells Fargo Residential Mortgage Lending Discrimination, No. [read post]
22 Apr 2017, 2:28 pm
Professor Jackson is the co-author of Financial Regulation: Law and Policy (Foundation Press 2016) and has served as an expert witness for the plaintiff class in In re Wells Fargo Residential Mortgage Lending Discrimination, No. [read post]
22 Apr 2017, 6:48 am
On April 10, 2017, a committee of independent directors of Wells Fargo released a 110-page report on the results of an investigation into the root causes of improper sales practices at Wells Fargo’s Community Bank (the “Community Bank”). [1] The report will likely be studied by regulators, congressional committees, financial institutions, and other companies for insights into the causes of problematic sales practices and, more broadly,… [read post]
22 Apr 2017, 6:48 am
On April 10, 2017, a committee of independent directors of Wells Fargo released a 110-page report on the results of an investigation into the root causes of improper sales practices at Wells Fargo’s Community Bank (the “Community Bank”). [1] The report will likely be studied by regulators, congressional committees, financial institutions, and other companies for insights into the causes of problematic sales practices and, more broadly,… [read post]
20 Apr 2017, 9:30 pm
Wells Fargo was fined $185 million in September after an investigation by the OCC and other authorities. [read post]
18 Apr 2017, 2:35 pm
In March 2017, FINRA began investigating whether, while associated with Wells Fargo, Amirriahei had engaged in unauthorized and/or discretionary trading in two customers’ accounts. [read post]
13 Apr 2017, 9:23 pm
Ponce de Leon soon may be ordered reinstated at Wells Fargo — which would follow another high-profile reinstatement ordered last week by the Labor Department, of an unnamed Wells Fargo banker who was awarded $5.4 million in damages and fees for being fired after reporting fraud, the largest such award under SOX. [read post]
12 Apr 2017, 10:13 am
According to his FINRA BrokerCheck, Tricarico was registered as a financial advisor with LPL Financial in Westport, CT from 05/2011 – 01/2015 and Wells Fargo in Westport, CT from 03/2009 – 05/2011. [read post]
12 Apr 2017, 6:30 am
If anyone has a link to the actual study, I would love to review it.One more caveat - I don't know anything about these Wells Fargo arbitrations, but I do know something about consumer arbitrations - having represented investors and financial firms in well over 600 such arbitrations over the years. [read post]
3 Apr 2017, 9:00 am
Wells Fargo’s vision is to satisfy our customers’ financial needs and help them succeed financially.As to that bit about "satisfy our customers' financial needs and help them succeed financially" I gotta wonder who they see as their customers and who are they helping to succeed? [read post]
31 Mar 2017, 6:03 am
Posted by Ira Kay, Pay Governance LLC, on Monday, March 27, 2017 Tags: Boards of Directors, Dodd-Frank Act, Executive Compensation, Incentives, Institutional Investors, Management, Say on pay, Securities regulation, Shareholder voting The Americas – 2017 Proxy Season Preview Posted by Sean Quinn, Institutional Shareholder Services Inc., on Monday, March 27, 2017 Tags: Boards of Directors, Canada, Executive Compensation, International governance, Proxy access, Proxy season, Securities… [read post]
24 Mar 2017, 6:00 am
The study identified Wells Fargo Advisors as the biggest offender, saying its female advisers were 25% more likely to experience a “job separation” after misconduct than their male counterparts. [read post]
23 Mar 2017, 6:14 am
Such investors have already filed proposals with a number of large financial services institutions, such as Citigroup, Bank of America Corp., and Wells Fargo & Co. [read post]
23 Mar 2017, 6:14 am
Such investors have already filed proposals with a number of large financial services institutions, such as Citigroup, Bank of America Corp., and Wells Fargo & Co. [read post]
21 Mar 2017, 2:42 am
Thankfully, both Wells Fargo and the Financial Industry Regulatory Authority were there to protect us. [read post]
21 Mar 2017, 2:41 am
Thankfully, both Wells Fargo and the Financial Industry Regulatory Authority were there to protect us. [read post]
