Search for: "Wells Fargo Financial"
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24 Jul 2023, 6:19 pm
Underwriting far outpaced lending for Morgan Stanley and Goldman Sachs; lending and underwriting were closer to equal for Bank of America, Citi, and JPMorgan Chase; and lending far outpaced underwriting for Wells Fargo. [read post]
19 Jul 2023, 7:51 am
In March of 2023, the former head of Wells Fargo Bank’s retail banking division, Carrie L. [read post]
18 Jul 2023, 12:52 pm
The Growing Problem of Loan Defaults Executives from Wells Fargo, Citigroup, and JP Morgan issued warnings in April, predicting a worsening commercial real estate market. [read post]
13 Jul 2023, 9:56 am
[4] “Wells Fargo Agrees to Pay Shareholders $1 Billion to Settle Class-Action Suit,” Ben Eisen, The Wall Street Journal, May 15, 2023 [read post]
7 Jul 2023, 1:24 pm
FINRA Fines Wells Fargo for Early UIT Rollovers Wells Fargo to pay nearly $2.7 million for early UIT rollovers December 2021 – FINRA censured and fined Wells Fargo Advisors Financial Network $100,000; and censured and fined Wells Fargo Clearing Services $550,000 plus $2.083 million in restitution. [read post]
7 Jul 2023, 12:53 pm
Two of Caldwell’s former employers, Citigroup and Wells Fargo each allegedly reported that she was involved in “Outside Business Activities,” against firm and FINRA rules. [read post]
5 Jul 2023, 9:01 pm
Mar. 15, 2023), in which shareholders relied on 220 Demand documents to allege that the Wells Fargo board ignored “pervasive issues of discrimination” that resulted in multiple scandals, including allegations that the bank held fake interviews with minority candidates. [read post]
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]
