Search for: "Wells Fargo "
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18 Dec 2018, 11:12 am
First Southwest Michael Giokas Fortune Financial Services, Inc Comprehensive Asset Management and Servicing Travis Marks Wells Fargo Advisors, LLC JP Morgan Securities LLC Richard Minichino Next Financial Group, Inc Wunderlich Securities, Inc Thomas Park Merrill Lynch, Pierce, Fenner & Smith Inc Wells Fargo Clearing Services, LLC Brian Roth The… [read post]
18 Dec 2018, 11:03 am
Morgan Securities LLC Virginia Nichols LPL Financial LLC Merrill Lynch, Pierce, Fenner & Smith Inc Michael Nickoli AXA Advisors, LLC NML Investors, LLC Jeffrey Offen Craft Capital Management LLC Salomon Whitney Financial Issac Onu NY Life Securities LLC Wells Fargo Advisors, LLC Michael Resciniti Spartan Capital Securities, LLC First Standard Financial Company LLC … [read post]
18 Dec 2018, 6:04 am
By way of a brief observation from someone who's been on Wall Street for four decades: When we are confronted by the stupid stuff that folks do, often our first inclination is to assume that the stupid stuff was a mistake; however, notwithstanding our inclination to assume that there may well have been a sensible reason for doing the stupid stuff, it turns out that folks just do stupid stuff. [read post]
17 Dec 2018, 2:58 am
” [Ira Stoll] “Because [Florida agriculture commissioner-elect Nikki Fried] took donations from the medical marijuana industry, Wells Fargo and BB&T banks closed her campaign accounts briefly, citing policies against serving businesses related to marijuana, which is still prohibited under federal law. [read post]
14 Dec 2018, 8:36 am
Wells Fargo Customer Left Town But Was In the Parking Lot But Wasn't, Sent Letter But Didn't, and Made Phone Call But Hadn't (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4348/finra-awc-wire/Before you read today's analysis of a recent FINRA regulatory settlement, place a large pillow on the floor directly under your chin because it may cushion the impact when your jaw hits the hardwood not once or twice but possibly three or more times. [read post]
13 Dec 2018, 3:50 pm
According to Wells Fargo, revenue increased 8.2 percent at the 50 top firms. [read post]
13 Dec 2018, 2:00 pm
(CRD #6694) of Garden City, NY, and Wells Fargo Advisors, LLC (CRD #19616) of Great Neck, NY. [read post]
13 Dec 2018, 1:07 pm
Ex-MML Investors Broker and Former Wells Fargo Advisors Broker Also Suspended Jackson is not the only broker that FINRA has recently suspended. [read post]
13 Dec 2018, 7:00 am
POLITICO claims that the Trump administration has actively covered up a new report that shows Wells Fargo is exploiting college students with high penalties and fees. [read post]
11 Dec 2018, 3:00 am
Key Findings A typical American household with four wireless phones paying $100 per month for taxable wireless service can expect to pay about $229 per year in wireless taxes, fees, and surcharges—up from $221 in 2017. [read post]
10 Dec 2018, 5:29 am
Per Wells Fargo’s Legal Specialty Group, the legal industry will soon see its "strongest annual performance in a decade. [read post]
8 Dec 2018, 6:25 am
The article tells us that Wells Fargo & Co. executives were warned that an auto insurance plan could be overcharging customers four years before the bank scrapped the program, according to a complaint released by a Judge. [read post]
4 Dec 2018, 8:09 am
Those numbers, however, are entirely driven by the $500 million civil monetary penalty assessed on Wells Fargo and a $335 million restitution order for Citibank. [read post]
4 Dec 2018, 5:03 am
“Women are grasping for ideas on how to deal with it, because it is affecting our careers,” said Karen Elinski, president of the Financial Women’s Association and a senior vice president at Wells Fargo & Co. [read post]
2 Dec 2018, 12:00 am
Secondly, investors might vote against the retention of specific members of the board and board committees, following the advice of shareholder advisory firms like Institutional Shareholder Services and Glass Lewis, which recently advised against the retention of a key board member of the Wells Fargo corporate responsibility committee. [read post]
30 Nov 2018, 5:07 am
My readers are familiar with my analysis of the many Compliance 1.0 train wrecks over the past decade, including #GM(delayed ignition switch recall and “69 Naughty Words”), #VW (emission cheating scandal) and Wells Fargo (fake accounts cross-selling scandal), but only rarely do I have occasion to comment on a company reaching ”rock star” status with its compliance and ethics approach. [read post]
29 Nov 2018, 10:33 am
Dill has been registered with Well Fargo Clearing Services, LLC in Merrillville, IN since January 1, 2008, FINRA notes. [read post]
28 Nov 2018, 12:03 pm
Finally, in Wells Fargo Bank, NA v. [read post]
28 Nov 2018, 10:19 am
Juan Uribe Suspended by FINRA Indefinitely in All Capacities & Discharged from Wells Fargo Clearing Services, LLC Juan Uribe was reportedly discharged by Wells Fargo after several of the loan repayments from the aforementioned loan were late, FINRA states. [read post]
27 Nov 2018, 10:11 am
William Dumchus has also worked at the following firms: • Wells Fargo, NJ, Westfield, NJ — February 3, 2006 through April 17, 2014 • UBS Financial Services, Inc., Weehawken, NJ — December 1, 2000 through February 23, 2006 • Salomon Smith Barney, Inc., New York, NY — July 31, 1993 through December 11, 2000 • Lehman Brothers Inc., New York, NY — April 27, 1984 through July 31, 1993 • Merrill Lynch, Pierce, Fenner… [read post]
