Search for: "Wells Fargo Financial"
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23 Jan 2017, 2:04 pm
Wells Fargo financial advisors, David Jeremy Welty and Ane Plate have been barred from the securities industry by FINRA and the SEC, respectively, per AdvisorHUB. [read post]
23 Jan 2017, 4:30 am
Author Alia Ismail cites the recent Wells Fargo cross-selling scandal as an example of a situation that could have been mitigated by an Ombuds program. [read post]
18 Jan 2017, 7:41 am
" Cordray and the CFPB have taken on big banks like Wells Fargo as well as shady payday lenders. [read post]
13 Jan 2017, 8:00 am
According to his FINRA BrokerCheck, Tricarico was registered as a financial advisor with LPL Financial from 05/2011 – 01/2015 and Wells Fargo from 03/2009 – 05/2011. [read post]
4 Jan 2017, 9:48 am
Wells Fargo & Co. will pay $35.5 million to more than 500 black financial advisors and trainees according to the settlement agreement filed Friday. [read post]
29 Dec 2016, 9:30 pm
MAY The Consumer Financial Protection Bureau (CFPB) proposed a new rule that would prohibit financial firms from using mandatory arbitration clauses in consumer contracts—clauses that were the subject of a highly critical New York Times investigation and that the CFPB says deny consumers’ rights to bring class action, even though advocates of arbitration say the clauses are a more expedient way to resolve… [read post]
23 Dec 2016, 12:00 pm
They claimed Wells Fargo fired them as an example to other employees. [read post]
23 Dec 2016, 1:00 am
Karp, Paul, Weiss, Rifkind, Wharton & Garrison LLP, on Sunday, December 18, 2016 Tags: Board monitoring, Boards of Directors, CFPB, Compliance & ethics, Corporate culture, Financial regulation, Incentives, Management, Misconduct, Oversight, Risk-taking, Transparency, Wells Fargo The Wells Fargo Cross-Selling Scandal Posted by Brian Tayan, Stanford Graduate School of Business, on Monday, December 19, 2016 Tags: Accountability, Bank boards,… [read post]
22 Dec 2016, 8:40 am
Wells Fargo took the biggest hit, as FINRA fined the bank’s securities and brokerage units a combined $5.5 million. [read post]
19 Dec 2016, 7:44 am
This comes after its parent bank , Wells Fargo & Co. [read post]
15 Dec 2016, 9:30 pm
Wells Fargo now must “file a revised submission addressing the remaining deficiencies by March 31, 2017. [read post]
13 Dec 2016, 3:31 pm
Since these arbitration agreements are an attempt by Wells Fargo to stay out of the court room and settle disputes privately, the Consumer Financial Protection Bureau has proposed to prohibit banks from blocking future class action lawsuits brought on by customers. [read post]
13 Dec 2016, 3:31 pm
Since these arbitration agreements are an attempt by Wells Fargo to stay out of the court room and settle disputes privately, the Consumer Financial Protection Bureau has proposed to prohibit banks from blocking future class action lawsuits brought on by customers. [read post]
7 Dec 2016, 3:30 am
The recent Wells Fargo calamity of opening customer accounts without permission underscores how financial incentives can promote unethical behavior by employees on the front line of servicing customers. [read post]
6 Dec 2016, 8:21 pm
Mandating arbitration when signing up for financial products has become standard practice after a Supreme Court decision in 2011 validated the practice. [read post]
6 Dec 2016, 8:21 pm
Mandating arbitration when signing up for financial products has become standard practice after a Supreme Court decision in 2011 validated the practice. [read post]
6 Dec 2016, 11:47 am
That is why, for example, Wells Fargo is trying hard to force claims against it for creating sham accounts into arbitration, instead of facing the wrath of juries. [read post]
6 Dec 2016, 8:17 am
Wells Fargo Bank NA. [read post]
6 Dec 2016, 8:17 am
Wells Fargo Bank NA. [read post]
2 Dec 2016, 10:24 am
But the CFPB made clear in its warning to companies that its concerns over sales practices go beyond situations similar to Wells Fargo’s fake account scandal. [read post]
