Search for: "WELLS FARGO FINANCIAL"
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5 Jul 2023, 8:00 am
Citi, Wells Fargo, and Bank of America are also among the top five fossil financiers since 2016, the report found. [read post]
17 Jun 2023, 6:03 am
” Reid says that while she took a traditional legal path — working for Wells Fargo Advisors, the U.S. [read post]
16 Jun 2023, 9:54 am
Morgan Securities LLC Mulan Greenway Joshua Lovings Josette Santos Wells Fargo Clearing Services, LLC Harold Stephenson LPL Financial LLC Herrmann Securities, Inc. [read post]
9 Jun 2023, 11:52 am
A judge in Georgia has ruled that Wells Fargo and its counsel “manipulated” the Financial Industry Regulatory Authority’s arbitrator selection process and violated the FINRA Code [...] [read post]
9 Jun 2023, 7:44 am
A Georgia Superior Court judge took a serious whack at Wells Fargo Advisors, as well as the Financial Industry Regulatory Authority Inc., in a January order that dismissed an arbitration claim that Wells Fargo had won 2½ years ago involving a client who sued the firm for mismanaging his account. [read post]
7 Jun 2023, 4:56 pm
A Georgia Court of Appeals reversed a lower court’s decision that vacated a Financial Industry Regulatory Authority arbitration award in favor of Wells Fargo, with the court arguing that there was no evidence that the wirehouse had “manipulated” the arbitration pool in the original dispute. [read post]
7 Jun 2023, 1:54 pm
Pease, while affiliated with Wells Fargo Clearing Services and Wells Fargo Advisors Financial [...] [read post]
7 Jun 2023, 7:48 am
The post Wells Fargo Workers Drop Wage Suit, Head to FINRA Arbitration appeared first on Stoltmann Law. [read post]
7 Jun 2023, 6:47 am
Wells Fargo Advisors won more than $19.6 million in an arbitration claim accusing Raymond James Financial Services and an ex-Wells broker of raiding an Arkansas branch that has since closed, according to an award issued Thursday. [read post]
6 Jun 2023, 10:24 am
A Wells Fargo advisor is being sued by a former client who claims to have been defrauded out of a multimillion-dollar investment in a musical adaptation of the 1990 movie “Ghost. [read post]
5 Jun 2023, 6:08 pm
A legal dispute pitting Wells Fargo Advisors against one of its former in-house lawyers has raised a question about when brokerages and their employees should be compelled to arbitrate at the Financial Industry Regulatory Authority. [read post]
5 Jun 2023, 4:09 am
Well, Wells Fargo opted to refuse to follow the wife's instructions. [read post]
1 Jun 2023, 8:17 am
Her previous employers include Wells Fargo Advisors Financial Network, LLC (CRD#:11025) and Wedbush Securities Inc. [read post]
31 May 2023, 9:01 pm
Here is a closer look at the events that led to the $1 billion settlement: In 2016, the Consumer Financial Protection Bureau (“CFPB”) and the Office of the Comptroller of the Currency (“OCC”) fined Wells Fargo $135 million for secretly opening deposit and credit card accounts without its customers’ authorizations. [read post]
29 May 2023, 1:26 pm
DOJ RELEASES SEC RELEASES Commission Statement on the Passing of Former Chairman Harvey Pitt (SEC) Former Wells Fargo Senior Executive Carrie Tolstedt Agrees to Settle SEC Fraud Charges for Mi... [read post]
29 May 2023, 1:26 pm
FINRA Took Wells Fargo Stockbroker Outback to a Bar and SEC Says It's The Last Round (BrokeAndBroker.com Blog) SEC Orders FINRA to Raise Its Arbitration Forum Gate For Expungements (BrokeAndBroker.com Blog) Financial Professionals Coalition, Ltd. [read post]
23 May 2023, 6:04 am
[Legal Intelligencer] * Wells Fargo piling up NLRB complaints to go with the $1B they had to pay over the Fed, Treasury, and CFPB complaints. [read post]
12 May 2023, 9:17 am
Joint book-running managers for the offering included Keefe, Bruyette & Woods, Wells Fargo Securities, Morgan Stanley, UBS Investment Bank, and Goldman Sachs, with Deutsche Bank Securities as lead manager, and Compass Point, Ladenburg Thalmann, KeyBanc Capital Markets, Oppenheimer, and Piper Sandler also as co-managers for the offering. [read post]
9 May 2023, 11:55 am
Well, when Credit Suisse was in financial trouble, and the Swiss government had UBS takeover the company, those bonds became worthless, absolutely worthless, $17 billion up in smoke, you’re now seeing investors bringing claims Morgan Stanley, and other major firms like UBS and Credit Suisse sold these bonds to investors. [read post]
4 May 2023, 7:49 am
He can be reached at Jeff@JeffNewmanLaw.com or at 617-823-3217 The post Wells Fargo to pay $3.7 Billion for alleged illegal practices appeared first on Jeff Newman Law. [read post]
