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16 Dec 2011, 7:01 am
The Financial Industry Regulatory Authority (FINRA) announced that is has fined Wells Fargo Investments, LLC (Wells Fargo) $2 million related to the sales of unsuitable reverse convertible notes to elderly customers. [read post]
26 Dec 2008, 8:03 am
The lawsuit filed in Northern California Federal court, accuses Wells Fargo of devising a system to take advantage of customers’ overdrafts in order to charge them fees. [read post]
19 Feb 2021, 12:44 pm
Reed was a financial advisor with Wells Fargo Clearing Services (“Wells Fargo”) in Scottsdale, Arizona, from April 2016 until April 2020. [read post]
12 Sep 2018, 7:24 am
Cloutier was a Wells Fargo broker for seven years. [read post]
8 May 2016, 7:15 pm
Duke Tran, a former customer service specialist at the bank, says his supervisor berated himThe post Wells Fargo Fired Worker Who Called Their Policies Unethical appeared first on Legal Reader. [read post]
22 Sep 2016, 7:57 am
In addition to other illegalThe post Oh, The Wells Fargo Wagon Has Some Explaining To Do appeared first on Legal Reader. [read post]
9 Jun 2023, 11:52 am
The post Wells Fargo ‘Manipulated’ FINRA Arbitration Process: Judge appeared first on Stoltmann Law. [read post]
6 Jun 2023, 7:25 am
The post FINRA changes arbitrator selection after Wells Fargo case appeared first on Stoltmann Law. [read post]
20 May 2022, 6:15 am
Wells Fargo Advisors, the St. [read post]
5 Dec 2017, 7:50 am
The Financial Industry Regulatory Authority (FINRA) ordered Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC (Wells Fargo) to pay more than $3.4 million in restitution to customers for unsuitable recommendations of volatility-linked exchange-traded products (ETPs) and supervisory failures concerning the sales of these products. [read post]
6 Sep 2011, 3:46 am
” As a practical matter for most purposes, Wells Fargo is more or less ubiquitous in the United States. [read post]
16 May 2013, 7:41 am
Previous coverage of the legal response to Wells Fargo's reprehensible practices here (9th Circuit) and here (earlier district court opinion). [read post]
28 Dec 2020, 12:12 pm
Continue Reading › The post Customers Blame Ex-Wells Fargo Broker Clearing Services Herbert Weith For Variable Annuity Losses appeared first on Investor Lawyers Blog. [read post]
27 Apr 2012, 7:53 am
The deal for Merlin Securities makes Wells Fargo the last of the nation's biggest banks to enter the lucrative prime brokerage field, which caters to hedge funds and other alternative asset management firms. [read post]
24 May 2022, 6:34 am
Wells Fargo and its counsel were found to have manipulated the FINRA arbitration process, according to a Georgia state court, which in January, 2022 vacated an arbitration award in favor of Wells Fargo. [read post]
13 Mar 2020, 5:21 am
Wells Fargo Stockbroker Accused Of Overconcentration & Unsuitable Investments Wells Fargo Clearing Services broker, Jeffrey Eiler, has been the subject of 12 customer investment loss disputes, most of which were settled and a few that were denied. [read post]
19 Dec 2019, 12:00 pm
Well Fargo and the city of Philadelphia recently agreed to a $10 settlement, ending a suit involving allegations of discriminatory lending practices. [read post]
8 Jul 2010, 1:16 pm
In Wells Fargo v. [read post]
28 Feb 2012, 1:05 pm
Wells Fargo & Co. has received a Wells notice from the SEC regarding disclosures in its mortgage-backed securities offering documents, including whether it adequately disclosed risks associated with mortgage-backed securities. [read post]
18 May 2011, 6:04 am
Wells Fargo claims that it gave the Johnsons ample opportunities to work something out. [read post]
