Search for: "Wells Fargo Investments LLC"
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28 Apr 2022, 8:28 am
Wells Fargo Advisors, LLC Stephen Wenske Edward Jones For example, FINRA Rule 3240 governs borrowing and lending arrangements between registered investment advisors (RIAs) and customers of their member firm. [read post]
21 Apr 2022, 7:18 am
Johan Pereira (Johan Manuel Pereira CRD#: 6252881) is a former registered broker and investment advisor whose last known employment was with Wells Fargo Clearing Services, LLC (CRD#:19616) of Beverly, MA. [read post]
20 Apr 2022, 2:13 pm
Did You Invest With Wells Fargo? [read post]
19 Apr 2022, 9:31 am
He was reportedly affiliated with the following firms, among others, during his career in the securities industry: 12/06/2012 – 03/10/2022, MORGAN STANLEY (CRD#:149777), WILMINGTON, NC, 11/09/2004 – 12/07/2012, WELLS FARGO ADVISORS, LLC (CRD#:19616), WILMINGTON, NC According to a Letter of Acceptance Waiver and Consent issued on April 14, the Financial Industry Regulatory Authority (FINRA) has barred Good from working in the… [read post]
24 Mar 2022, 8:51 am
His only prior industry employment was with Wells-Fargo Clearing Services, LLC (CRD#:19616) of Elizabeth, NJ. [read post]
15 Mar 2022, 12:18 pm
According to his broker report, Mario Rivero Jr. was affiliated with the following firms during his career in the securities industry: 09/28/2020 – 06/04/2021, LPL FINANCIAL LLC (CRD#:6413), RED BANK, NJ, 12/02/2010 – 10/01/2020, WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616), ELIZABETH, NJ How to Recover Financial Losses When brokers violate securities laws, such as making unauthorized transactions or… [read post]
8 Mar 2022, 8:18 am
Recently, two former clients of Wells Fargo, Brian Leggett and Bryson Holdings LLC, filed an arbitration claim against Wells Fargo and advisor Jay Wilson Pickett III after a merger arbitrage strategy caused them to sustain losses of $1,178,446 between 2015 and 2016. [read post]
8 Mar 2022, 6:56 am
The post Attorney Jake Zamansky Comments on Wells Fargo’s Appeal of Fraud Ruling in Financial-Planning.com appeared first on Zamansky LLC. [read post]
7 Mar 2022, 8:22 am
He was previously employed with Wells Fargo Clearing Services, LLC (CRD#:19616) of Arlington, VA, and Morgan Stanley (CRD#:149777) of McLean, VA. [read post]
28 Feb 2022, 3:42 am
Wells Fargo Advisors, LLC, Respondent (FINRA Arbitration Award) SEC Charges Former Broker for Stealing from Elderly Investors (SEC Release)SEC Charges Investment Adviser with Failing to Disclose Conflicts Arising from Mutual Fund and Account Recommendations (SEC Release)United Kingdom Citizens Indicted in Brooklyn Federal Court for Multi-Million Dollar Loan Scheme / The Defendants Allegedly Caused Investors to Invest over $99 Million in Sham Loans… [read post]
28 Feb 2022, 3:42 am
Wells Fargo Advisors, LLC, Respondent (FINRA Arbitration Award)United Kingdom Citizens Indicted in Brooklyn Federal Court for Multi-Million Dollar Loan Scheme / The Defendants Allegedly Caused Investors to Invest over $99 Million in Sham Loans Purportedly Collateralized by Valuable Bottles of Wine (DOJ Release)Man Indicted for Frac Sand Ponzi Scheme (DOJ Release)Three Defendants Sentenced For Illegal Bitcoin Business (DOJ Release)New York Man Sentenced To 12… [read post]
28 Feb 2022, 3:42 am
Wells Fargo Advisors, LLC, Respondent (FINRA Arbitration Award)SEC Charges Former Broker for Stealing from Elderly Investors (SEC Release)SEC Charges Investment Adviser with Failing... [read post]
24 Feb 2022, 2:29 pm
According to his FINRA Broker report, Dunn was reportedly affiliated with the following firms during his 9 year career in the securities industry.05/31/2019 – 11/18/2021, AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363), Vienna, VA,09/11/2015 – 05/20/2019,WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616), ARLINGTON, VA08/14/2012 – 09/22/2015, MORGAN STANLEY (CRD#:149777), MCLEAN, VA Dunn reportedly voluntarily resigned from Ameriprise on… [read post]
22 Feb 2022, 1:58 pm
Travis Eiland HD Vest Investment Services Jeremy Fortner Wells Fargo Clearing Services, LLC J.P. [read post]
16 Feb 2022, 12:32 pm
Wells Fargo Clearing Services, LLC et al., File No. 2019CV328949, Superior Court of Georgia, Fulton County (January 25, 2022). [read post]
14 Feb 2022, 10:37 am
The post Ex-Wells Fargo Advisor Kenneth Welsh Sued for $10 Million appeared first on The White Law Group. [read post]
11 Feb 2022, 8:25 am
According to his FINRA BrokerCheck profile, Darryl Cohen was affiliated with the following firms, during his career in the securities industry: 06/05/2015 – 04/08/2021, MORGAN STANLEY (CRD#:149777), WESTLAKE VILLAGE, CA, 05/16/2003 – 06/08/2015, WELLS FARGO ADVISORS, LLC (CRD#:19616), WESTLAKE VILLAGE, CA 02/28/1997 – 05/05/2003, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED… [read post]
31 Jan 2022, 8:44 am
(CRD#:249), LOS ANGELES, CA 09/15/2011 – 03/04/2014, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691), BEVERLY HILLS, CA 04/14/2008 – 09/16/2011, WELLS FARGO ADVISORS, LLC (CRD#:19616), LOS ANGELES, CA Potential Lawsuits to Recover Investment Losses Brokerage firms are required to properly supervise their advisors. [read post]
28 Jan 2022, 3:59 am
A cause of action based upon fraud must be commenced within six years from the time of the fraud, or within two years from the time the fraud was discovered, or with reasonable diligence could have been discovered, whichever is longer (see CPLR 203[g]; 213[8]; Coleman v Wells Fargo & Co., 125 AD3d 716, 716). [read post]
24 Jan 2022, 1:43 pm
Morgan Securities LLC Ganesh Iyer Morgan Stanley LPL Financial LLC Calvin Kleinmann Wells Fargo Clearing Services, LLC Wells Fargo Advisors, LLC Christopher Pierce Oppenheimer & Co. [read post]
