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23 May 2019, 7:43 am
According to FINRA Disciplinary actions for May 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Bethan, Frank Quest Capital Strategies, Inc Wells Fargo Clearing Services, LLC Cody, Jill Concorde Investment Services, LLC Westminster Financial Securities, Inc Cody, Richard IFS Securities … [read post]
22 May 2019, 6:52 pm
Wells Fargo Bank, N.A., No. 14-12-00686-CV, 2013 WL 6047031, at *4 (Tex. [read post]
22 May 2019, 2:00 am
Company scandals like those Wells Fargo, Volkswagen, and Facebook have experienced cost millions of dollars every year—sometimes billions of dollars. [read post]
21 May 2019, 6:38 am
Samuel and Groves’ case in 2016 originally included Wells Fargo, where Parthemer worked from 2011 to 2015. [read post]
20 May 2019, 7:01 am
After news broke of Wells Fargo’s extensive misconduct, their partnership with Wells Fargo lost half its business, and suffered significant damage. [read post]
17 May 2019, 1:18 pm
Schmidt was discharged by his last employer, Wells Fargo Advisors Financial Network, LLC (CRD#:11025), of Dayton, OH, after allegations of “unauthorized money movement between clients,” and inaccurate account statements that were not generated or approved by Wells Fargo. [read post]
17 May 2019, 11:20 am
The post FINRA Bars Wilfred Rodriquez, Jr., Wells Fargo Boca Raton Office appeared first on Securities Arbitration Lawyers Blog. [read post]
17 May 2019, 3:00 am
It will also implement new business and risk-management processes. https://www.reuters.com/article/us-wells-fargo-risk/wells-fargo-creates-new-unit-focused-on-regulatory-compliance-idUSKCN1SE2U5 How We Howeyby Hester M. [read post]
16 May 2019, 10:21 am
THE CASE OF THE SCAMMED ATTORNEY: WHO SHOULD BEAR THE RISK AND LOSS - BANK OR BANK CUSTOMER? [read post]
15 May 2019, 1:49 pm
LJM had previously filed a claim against Wells Fargo & Co. [read post]
13 May 2019, 8:59 am
“Small business owners are showing signs of strong optimism, according to the latest quarterly Wells Fargo/Gallup Small Business Index survey. [read post]
13 May 2019, 8:06 am
Shockingly, it was alleged that when Claimant complained to Wells Fargo the firm told Claimant that not only are the investments suitable for her but that she made money and has no claim against the firm. [read post]
11 May 2019, 11:47 am
Wells Fargo Bank, N.A. [read post]
10 May 2019, 3:05 pm
Wikipedia preserves the details of one of the classic hippie moments in American history:The Zip to Zap was an idea of Chuck Stroup, a student at North Dakota State University in Fargo. [read post]
10 May 2019, 12:30 pm
Miami officials have plausibly alleged that Bank of America and Wells Fargo refused to loan money to black and Latino homebuyers on the same terms as comparably situated white borrowers, instead lending to minorities only on predatory terms, resulting in disproportionate defaults and financial harm to the city in the form of lost tax revenue. [read post]
10 May 2019, 11:37 am
Wells Fargo Bank, N.A. [read post]
10 May 2019, 5:34 am
Allen Parker, former Cravath presiding partner turned Wells Fargo GC turned Wells Fargo acting CEO, has done something very wise in his short time leading the troubled bank: He created a regulatory and compliance group. [read post]
10 May 2019, 5:08 am
Wells Fargo Personal Banker Pleads Guilty to Money Laundering Charges (DOJ Release)https://www.justice.gov/usao-sdca/pr/wells-fargo-personal-banker-pleads-guilty-money-laundering-chargesFormer Wells Fargo Bank banker Luis Fernando Figueroa pled guilty in the United States District Court for the Southern District of California to conspiracy to launder money for a purported international organization that laundered about $19.6 million… [read post]
10 May 2019, 5:08 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4588/securities-industry-commentator/Wells Fargo Personal Banker Pleads Guilty to Money Laundering Charges (DOJ Release)Opioid Addiction on Wall Street: A Wells Fargo Employee Is Barred (BrokeAndBroker.com Blog)GOZNYM CYBER-CRIMINAL NETWORK OPERATING OUT OF EUROPE TARGETING AMERICAN ENTITIES DISMANTLED IN INTERATIONAL… [read post]
10 May 2019, 5:08 am
Opioid Addiction on Wall Street: A Wells Fargo Employee Is Barred (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4593/FINRA-Opioid-Drugs/Today's featured FINRA regulatory case is about a Wells Fargo employee who was charged with converting funds from his employer and failing to fully cooperate in FINRA's ensuing investigation. [read post]
