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29 Jul 2019, 12:27 pm
., Memphis, TN— April 11, 2012 to October 10, 2013 Wells Fargo Advisors, LLC, Richmond, VA— April 8, 2005 to June 16, 2010SouthTrust Securities, LLC, Birmingham, AL— April 3, 2003 to April 11, 2005First Union Securities, Inc., St. [read post]
26 Jul 2019, 1:24 pm
Five of the firms that self-reported collectively paid over $30M in restitution: Raymond James Financial Services (RJF) Wells Fargo Advisors (WFC) Raymond James & Associates Wells Fargo Advisors Financial Network LPL Financial (LPLA) Several months later, Edward Jones, AXA Advisors, Janney Montgomery Scott, Stifel Nicolaus & Company (SF), and Stephens Inc. collectively agreed to pay $18M in restitution to charitable and retirement accounts, also… [read post]
25 Jul 2019, 2:24 pm
Margin pressure was cited as the primary reason behind Wells Fargo’s recent scandal, where the bank charged over 800,000 customers for unwanted auto insurance. [read post]
25 Jul 2019, 12:05 pm
Marc Francis Rogers has been registered with Wells Fargo Clearing Services, LLC in East Palo Alto, CA since July 6, 2010, FINRA states. [read post]
25 Jul 2019, 8:07 am
Draft Recommendation on Certain Principal Transactions with Advisory Clients Jude Arena, Bank of America Merrill LynchJohn Bagley, MSRBJohn Cahalane, TradewebChris Ferreri, Hartfield, Titus, and DonnellyCraig Noble, Wells Fargo Advisors12:00 p.m. [read post]
25 Jul 2019, 5:09 am
Imagine if 7 of the Hearing Officers were former in-house counsel at Wells Fargo or JP Morgan, and the other 3 were former lawyers at major law firms representing financial services firms. [read post]
17 Jul 2019, 3:18 pm
C. [read post]
12 Jul 2019, 1:33 pm
Cathy Bessant is at the top of the list, but this is Wells Fargo. [read post]
12 Jul 2019, 3:42 am
Also, Wells Fargo maintained the Financial Advisor Expense Manag... [read post]
1 Jul 2019, 12:46 pm
Morgan Keegan & Company, Inc Avent, Meiewyn Alliance-One Investments, LLC Metlife Investors Distribution Company Bougopoulkos, Nicholas Wells Fargo Securities, LLC Stifel Financial Corp Cook, Marian Farmers Financial Solutions, LLC Corley, Robert Fidelity Brokerage Services LLC Redstone Securities, Inc Detamore, Craig Allstate Financial Services, LLC Dysart, Jennifer … [read post]
1 Jul 2019, 12:43 pm
Kohn & Company Rumayor, Juan Farmers Financial Solutions, LLC HSBS Securities (USA) Inc Salcedo, Alex Scottrade, Inc Wells Fargo Clearing Services, LLC Webb, James Jr. [read post]
1 Jul 2019, 12:40 pm
Legend Securities, Inc Torres, John JP Morgan Securities LLC Wells Fargo Bank Whiting, David Alternative Asset Investment Mgmt. [read post]
28 Jun 2019, 3:47 pm
Bergman or the Trust, but from other entities, including Wells Fargo. [read post]
28 Jun 2019, 3:47 pm
Bergman or the Trust, but from other entities, including Wells Fargo. [read post]
20 Jun 2019, 1:56 pm
In FINRA arbitration practice, you got a rule laying out the minimal content to be disclosed in an intra-industry or a public customer FINRA Arbitration Decision. [read post]
20 Jun 2019, 1:56 pm
Wells Fargo Banker and Broker Loses Humpty Dumpty FINRA Arbitration(BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4661/finra humpty dumpty/In FINRA arbitration practice, you got a rule laying out the minimal content to be disclosed in an intra-industry or a public customer FINRA Arbitration Decision. [read post]
18 Jun 2019, 11:01 am
Fargo-Moorhead, North Dakota, Diversion Project After a delay due to litigation, the Fargo-Moorhead Flood Diversion Authority is going to move forward with the procurement for this $2.75 billion project this summer. [read post]
17 Jun 2019, 3:07 pm
Presenters at the Benchmark Rates Forum from Orrick, KPMG, Bank of America Merrill Lynch, NatWest Markets, Wells Fargo, JP Morgan, TD Securities, RBS, Santander, Société Générale, UBS, the Federal Home Loan Bank of New York, the LSTA and Pendo Systems addressed a wide variety of market, legal and other LIBOR transition issues (some also discussed at the recent ARRC Roundtable – see Orrick Client Alert on Takeaways from the Roundtable). [read post]
12 Jun 2019, 12:00 pm
Wachovia was a Wells Fargo acquisition in 2008. [read post]
11 Jun 2019, 9:29 am
According to BrokerCheck records financial advisor Leonard Kinsman (Kinsman), currently employed by Wells Fargo Advisors Network, LLC (Wells Fargo) has been subject to at least five customer complaints during the course of his career. [read post]
