Search for: "Wells Fargo Funding"
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12 May 2012, 4:25 am
., 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
., 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
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
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
#OCCUPYFAIL: Occupy Oakland Protesters Deposit Funds At Wells Fargo After Bank Attacks. [read post]
16 Mar 2022, 11:23 am
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
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
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]
5 Apr 2010, 5:26 pm
Wells Fargo & Co., 2010 WL 1233810 (N.D. [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]
Former Wells Fargo Advisor James Seijas Accepts Ban from FINRA Amid Allegations of Ponzi Investments
8 Nov 2021, 2:14 pm
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
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
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]
17 May 2018, 1:47 pm
He was employed at Wells Fargo Advisors Financial Network LLC from 2009 to 2017. [read post]
10 Nov 2010, 12:20 pm
Wells Fargo and Union Bank: 2 popular institutions that freeze bankruptcy filers' funds. [read post]
7 May 2012, 2:07 pm
., 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]
26 Jan 2016, 6:05 am
In addition to Wells Fargo and Morgan Stanley, FINRA reports that Mr. [read post]
30 Apr 2020, 12:59 pm
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]
