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23 Feb 2023, 8:35 am
In its recent SEC filing, Wells Fargo stated that The Securities and Exchange Commission and Commodity Futures Trading Commission “have undertaken investigations regarding [Wells Fargo’s] compliance with records retention requirements relating to business communications sent over unapproved electronic messaging channels,” In the last several months, the SEC and CFTC fined 11 Wall Street banks and brokerages more than $1.8… [read post]
23 Feb 2023, 8:35 am
In its recent SEC filing, Wells Fargo stated that The Securities and Exchange Commission and Commodity Futures Trading Commission “have undertaken investigations regarding [Wells Fargo’s] compliance with records retention requirements relating to business communications sent over unapproved electronic messaging channels,” In the last several months, the SEC and CFTC fined 11 Wall Street banks and brokerages more… [read post]
17 Feb 2023, 3:00 am
National/Federal After Helping Prince’s Rise, Trump and Kushner Benefit from Saudi FundsMSN – Michael Kranish (Washington Post) | Published: 2/11/2023 The day after leaving the White House, Jared Kushner created a company he transformed months later into a private equity firm with $2 billion from a sovereign wealth fund chaired by Saudi Crown Prince Mohammed bin Salman. [read post]
7 Feb 2023, 9:21 am
Wells Fargo Bank Corp. et al., plaintiff was hired as a senior vice president at the firm’s Southern California branch in 2018. [read post]
6 Feb 2023, 9:14 am
Ex-Wells Fargo Advisor Mario Rivero Jr. [read post]
1 Feb 2023, 12:22 pm
Wells Fargo – $3.7 billion. [read post]
31 Jan 2023, 6:55 am
Wells Fargo Bank N.A., 789 F.3d 889, 896 (8th Cir. 2015) (rejecting plaintiff’s argument that, under the juridical link doctrine, the court must assess standing requirements with reference to the class as a whole); Bahamas Surgery Ctr., LLC, v. [read post]
30 Jan 2023, 4:17 am
The SEC Toys With A Dead FINRA Expungement Mouse for 50 Months (BrokeAndBroker.com Blog) Federal Appellate Court Affirms Dismissal of Wells Fargo and FINRA (BrokeAndBroker.com Blog) DOJ RELEASES U.S. [read post]
30 Jan 2023, 4:17 am
The FINRA Regulatory Mule Kicks Defrauded Customers In the Head (BrokeAndBroker.com Blog) The SEC Toys With A Dead FINRA Expungement Mouse for 50 Months (BrokeAndBroker.com Blog) Federal Appellate Court Affirms Dismissal of Wells Fargo and FINRA (BrokeAndBroker.com Blog) DOJ RELEASES U.S. [read post]
18 Jan 2023, 7:00 pm
The central bank said six major lenders — JPMorgan Chase & Co., Bank of America Corp., Wells Fargo & Co., Goldman Sachs Group Inc., Morgan Stanley and Citigroup Inc. [read post]
10 Jan 2023, 12:33 pm
Wells Fargo: The broker-dealer arm of Wells Fargo was charged by the SEC with failing to file SARs on May 20, 2022. [read post]
9 Jan 2023, 3:38 pm
Grutzner has been a commercial real estate lender for more than 25 years for major banks including WesBanco, Wells Fargo and Fleet Bank. [read post]
3 Jan 2023, 1:47 pm
Rather, the settlement was in the Delaware Chancery Court breach of fiduciary duty lawsuit filed against the directors and officers of a SPAC, as well as the SPAC’s sponsors, related to MultiPlan. [read post]
22 Dec 2022, 3:15 am
That topped the previous record of $1 billion, which was the fine assessed against Wells Fargo in 2017. [read post]
20 Dec 2022, 8:28 am
Wells Fargo has agreed to pay $3.7 billion deal with regulators to resolve allegations that it harmed more than 16 million people with deposit accounts, auto loans and mortgages. [read post]
20 Dec 2022, 6:39 am
Wells Fargo was ordered to pay $3.7 billion in fines and refunds to customers by U.S. government regulators, the largest fine to date against the bank. [read post]
1 Dec 2022, 5:59 am
We welcome a well-known and leading financial institution like Wells Fargo to the Prime Partner program. [read post]
3 Nov 2022, 2:00 am
What You Need to Know Paulina Buhagiar had worked for Wells Fargo Bank for about two years when she informed her supervisor she was experiencing chest pains and having a hard time breathing. [read post]
21 Oct 2022, 7:46 am
Bank is pressured to do something about Zelle fraud. [read post]
20 Oct 2022, 8:35 am
But competition law has always been important to protect consumers as well, and we got involved in this one early on talking with Senator Durbin’s staff and other members of the Congress who asked us to testify. [read post]
