Search for: "Wells Fargo Funding" Results 81 - 100 of 1,181
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12 May 2012, 4:25 am by Jay Eng
., LLC ("Morgan Stanley"); UBS Financial Services ("UBS"); and Wells Fargo Advisors, LLC ("Wells Fargo") were sanctioned for sales of leveraged and inverse exchange-traded funds ("ETFs") without reasonable supervision and without a reasonable basis for recommending these ETFs. [read post]
12 May 2012, 4:25 am by Jay Eng
., LLC ("Morgan Stanley"); UBS Financial Services ("UBS"); and Wells Fargo Advisors, LLC ("Wells Fargo") were sanctioned for sales of leveraged and inverse exchange-traded funds ("ETFs") without reasonable supervision and without a reasonable basis for recommending these ETFs. [read post]
14 Mar 2016, 3:16 pm by Lax & Neville LLP
Tuchman (“Michelle Tuchman”) for more than $1.3 million in compensatory damages, resulting from Wells Fargo Advisors, LLC’s (“Wells Fargo”) wrongful termination of Bruce Tuchman and illegal conversion of funds from Michelle Tuchman’s brokerage account. [read post]
12 Jul 2012, 12:08 pm by Jenna Greene
While not part of the DOJ settlement, Wells Fargo also announced today that as of July 13, it will "discontinue funding mortgages that are originated, priced and sold by independent mortgage brokers….Wells Fargo cannot set loan prices for independent mortgage brokers nor control the combined effect of the negotiations that thousands of these independent mortgage brokers conduct with their customers. [read post]
28 Apr 2009, 11:04 am
Brown said that case didn't involve the securities at issue in the lawsuit he filed Thursday.Brown's lawsuit names Wells Fargo Investments, Wells Fargo Brokerage Services and Wells Fargo Institutional Services as defendants. [read post]
9 Nov 2011, 8:08 pm by Glenn Reynolds
#OCCUPYFAIL: Occupy Oakland Protesters Deposit Funds At Wells Fargo After Bank Attacks. [read post]
16 Mar 2022, 11:23 am by Shepherd Smith Edwards & Kantas, LLP
Ex-Wells Fargo Clearing Services Advisor Allegedly Misappropriated Funds from Elderly Investors  Mario Everildo Rivero is charged with two counts of wire fraud, one count of securities fraud, and one count of investment advisor fraud. [read post]
30 Sep 2022, 6:47 am by Silver Law Group
Seijas worked for Wells Fargo Clearing Services from March of 2013 through March of 2019, when he voluntarily resigned. [read post]
16 May 2023, 1:26 pm by Kevin LaCroix
This latest Wells Fargo settlement is just the latest recent jumbo securities suit settlement. [read post]
6 May 2011, 7:44 am
If you have been damaged as a result of fraud in connection with the sale of mutual funds or investment company shares by Wells Fargo or Wachovia, contact us for a free evaluation of your claim. [read post]
18 Nov 2008, 2:04 am
 Shortly after the merger agreement was signed and the merger was announced, Wachovia was able to obtain the financing it needed from Wells Fargo and from other sources of funding. [read post]
8 Nov 2021, 2:14 pm by Joe Wojciechowski
The AWC was prompted by a filing made by Wells Fargo on Form U-5, which is a securities industry form filed with regulators when a broker’s registered ends with a firm like Wells Fargo. [read post]
24 Feb 2010, 12:44 pm by Ted Allen
CVS Caremark and Wells Fargo this week joined the growing list of U.S. issuers that plan to hold advisory votes on executive compensation.CVS Caremark, the largest U.S. pharmacy chain, agreed to conduct an advisory vote after a “say on pay” proposal filed by the Connecticut Retirement Plans and Trust Funds earned 61.6 percent support in 2009. [read post]
4 Jun 2013, 7:48 am by D. Daxton White
 FINRA ordered Wells Fargo Advisors, LLC, as successor for Wells Fargo Investments, LLC, to pay a fine of $1.25 million and to reimburse approximately $2 million in losses to 239 customers. [read post]
10 Nov 2010, 12:20 pm by Asaph Abrams
Wells Fargo and Union Bank: 2 popular institutions that freeze bankruptcy filers' funds. [read post]
., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC. more than $9.1 million in total for selling leveraged and inverse exchange-traded funds or ETFs. [read post]
30 Apr 2020, 12:59 pm by Blum Law Group
A class-action lawsuit has been filed against Wells Fargo, among several other large banks, for allegedly manipulating the Paycheck Protection Program applications for their benefit. [read post]