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27 Oct 2016, 1:04 pm
As reported recently, the Financial Industry Regulatory Authority has commenced an investigation into the cross-selling activities of several broker dealers in the wake of the Wells Fargo fallout. [read post]
27 Oct 2016, 12:22 pm
Brian Berger was registered with Newbridge Securities in Boca Raton, FL from 04/2015 – 06/2015, Metlife Securities in Fort Lauderdale from07/2014 – 04/2015, and Wells Fargo Advisors in Boca Raton, FL from 07/2010 – 07/2014, according to FINRA Broker Check. [read post]
25 Oct 2016, 2:27 am
Please participate in this anonymous survey by guessing how many shareholder proposals will Wells Fargo receive (some of which may be withdrawn or negotiated out): survey tool – Broc Romanek [read post]
24 Oct 2016, 6:25 pm
WELLS FARGO BANK, N.A., et al., Appellees. 3rd District. [read post]
24 Oct 2016, 4:43 am
The more I re-read a recent FINRA Arbitration Decision involving Wells Fargo, the angrier I become. [read post]
20 Oct 2016, 8:26 pm
Wells Fargo has agreed to pay $185 million in fines to the Consumer Financial Protection Bureau. [read post]
18 Oct 2016, 5:00 am
Wells Fargo executives have come under fire regarding the incident from a number of different lawmakers, including Sen. [read post]
13 Oct 2016, 10:20 pm
., here, and here), Wells Fargo's CEO resigned over a consumer financial abuse scandal. [read post]
8 Oct 2016, 5:00 am
Velazquez started off the week with a promotion to executive director of the Maryland State Bar Association while Wells Fargo’s week went from bad to worse with talk that the state might move away from its banking relationship with the troubled financial institution. [read post]
7 Oct 2016, 1:18 pm
KIncade was discharged from Wells Fargo in January 2016. [read post]
7 Oct 2016, 9:58 am
Tricario, a former LPL, Wells Fargo FiNet and Merrill Lynch adviser was charged with stealing more than $1.1 million from an elderly client, along with her coin collection. [read post]
4 Oct 2016, 4:17 pm
In April of this year, the agencies jointly determined that each of the 2015 resolution plans of Bank of America, Bank of New York Mellon, JPMorgan Chase, State Street, and Wells Fargo was not credible or would not facilitate an orderly resolution under the U.S. [read post]
30 Sep 2016, 9:01 am
If you suffered losses investing with Wells Fargo Advisors please call The White Law Group at 1-888-637-5510 for a free consultation. [read post]
30 Sep 2016, 5:58 am
" Wells Fargo CEO John Stumpf may be forfeiting $41 million in pay, but lawmakers were still pretty darn upset with him when he testified before the House Financial Services Committee at a hearing yesterday. [read post]
29 Sep 2016, 3:24 am
Here’s the related Form 8-K that Wells Fargo filed yesterday. [read post]
28 Sep 2016, 1:08 pm
Thanks in large part to Senator Elizabeth Warren’s indefatigable efforts to hold “too big to fail” banks accountable for their part in the financial crisis that devastated the country in 2008, Wells Fargo’s CEO John Strumpf is being forced by the bank to forfeit $41 million dollars as a result of his role in theThe post More Bad News for Wells Fargo CEO appeared first on Legal Reader. [read post]
28 Sep 2016, 9:36 am
Wells Fargo Advisors, LLC and Fulcrum Securities, LLC were ordered to pay $470,000 to investors for their failure to oversee Christopher Cunningham of Virginia, who defrauded elderly clients in a Ponzi scheme. [read post]
27 Sep 2016, 6:05 pm
Wells Fargo’s board said Ms. [read post]
27 Sep 2016, 6:02 pm
Wells Fargo recently entered a $185 million settlement with the Consumer Financial Protection Bureau and fired more than 5,000 employees for creating 2 million-plus checking and credit card accounts that may not have been authorized by customers. [read post]
27 Sep 2016, 1:07 pm
The suit [complaint, PDF], filed in the US District Court for the Northern District of California [official website], alleges that the Wells Fargo organization violated the Securities Exchange Act of 1934 by engaging in misleading and incorrect information regarding the financial status of the bank. [read post]
